A Quantum Approach to Condensed Matter Physics

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A Quantum Approach to Condensed Matter Physics This textbook is a reader-friendly introduction to the theory underlying the many fascinating properties of solids. Assuming only an elementary knowledge of quantum mechanics, it describes the methods by which one can perform calculations and make predictions of some of the many complex phenomena that occur in solids and quantum liquids. The emphasis is on reaching important results by direct and intuitive methods, and avoiding unnecessary mathematical complexity. The authors lead the reader from an introduction to quasiparticles and collective excitations through to the more advanced concepts of skyrmions and composite fermions. The topics covered include electrons, phonons, and their interactions, density functional theory, superconductivity, transport theory, mesoscopic physics, the Kondo effect and heavy fermions, and the quantum Hall effect. Designed as a self-contained text that starts at an elementary level and proceeds to more advanced topics, this book is aimed primarily at advanced undergraduate and graduate students in physics, materials science, and electrical engineering. Problem sets are included at the end of each chapter, with solutions available to lecturers on the internet. The coverage of some of the most recent developments in condensed matter physics will also appeal to experienced scientists in industry and academia working on the electrical properties of materials. ‘‘. . . recommended for reading because of the clarity and simplicity of presentation’’ Praise in American Scientist for Philip Taylor’s A Quantum Approach to the Solid State (1970), on which this new book is based. p h i l i p t a y l o r received his Ph.D. in theoretical physics from the University of Cambridge in 1963 and subsequently moved to the United States, where he joined Case Western Reserve University in Cleveland, Ohio. Aside from periods spent as a visiting professor in various institutions worldwide, he has remained at CWRU, and in 1988 was named the Perkins Professor of Physics. Professor Taylor has published over 200 research papers on the theoretical physics of condensed matter and is the author of A Quantum Approach to the Solid State (1970). o l l e h e i n o n e n received his doctorate from Case Western Reserve University in 1985 and spent the following two years working with Walter Kohn at the University of California, Santa Barbara. He returned to CWRU in 1987 and in 1989 joined the faculty of the University of Central Florida, where he became an Associate Professor in 1994. Since 1998 he has worked as a Staff Engineer with Seagate Technology. Dr Heinonen is also the co-author of Many-Particle Theory (1991) and the editor of Composite Fermions (1998).

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A Quantum Approach to Condensed Matter Physics PHILIP L. TAYLOR Case Western Reserve University, Cleveland

OLLE HEINONEN Seagate Technology, Seattle

PUBLISHED BY CAMBRIDGE UNIVERSITY PRESS (VIRTUAL PUBLISHING) FOR AND ON BEHALF OF THE PRESS SYNDICATE OF THE UNIVERSITY OF CAMBRIDGE The Pitt Building, Trumpington Street, Cambridge CB2 IRP 40 West 20th Street, New York, NY 10011-4211, USA 477 Williamstown Road, Port Melbourne, VIC 3207, Australia http://www.cambridge.org © Cambridge University Press 2002 This edition © Cambridge University Press (Virtual Publishing) 2003 First published in printed format 2002

A catalogue record for the original printed book is available from the British Library and from the Library of Congress Original ISBN 0 521 77103 X hardback Original ISBN 0 521 77827 1 paperback

ISBN 0 511 01446 5 virtual (netLibrary Edition)

Contents

Preface ix

Chapter 1 Semiclassical introduction 1 1.1 Elementary excitations 1 1.2 Phonons 4 1.3 Solitons 7 1.4 Magnons 10 1.5 Plasmons 12 1.6 Electron quasiparticles 15 1.7 The electron–phonon interaction 17 1.8 The quantum Hall effect 19 Problems 22

Chapter 2 Second quantization and the electron gas 26 2.1 A single electron 26 2.2 Occupation numbers 31 2.3 Second quantization for fermions 34 2.4 The electron gas and the Hartree–Fock approximation 42 2.5 Perturbation theory 50 2.6 The density operator 56 2.7 The random phase approximation and screening 60 2.8 Spin waves in the electron gas 71 Problems 75 v

vi

Contents

Chapter 3 Boson systems 78 3.1 Second quantization for bosons 78 3.2 The harmonic oscillator 80 3.3 Quantum statistics at finite temperatures 82 3.4 Bogoliubov’s theory of helium 88 3.5 Phonons in one dimension 93 3.6 Phonons in three dimensions 99 3.7 Acoustic and optical modes 102 3.8 Densities of states and the Debye model 104 3.9 Phonon interactions 107 3.10 Magnetic moments and spin 111 3.11 Magnons 117 Problems 122

Chapter 4 One-electron theory 125 4.1 Bloch electrons 125 4.2 Metals, insulators, and semiconductors 132 4.3 Nearly free electrons 135 4.4 Core states and the pseudopotential 143 4.5 Exact calculations, relativistic effects, and the structure factor 150 4.6 Dynamics of Bloch electrons 160 4.7 Scattering by impurities 170 4.8 Quasicrystals and glasses 174 Problems 179

Chapter 5

Density functional theory 182 5.1 5.2 5.3 5.4 5.5

The Hohenberg–Kohn theorem 182 The Kohn–Sham formulation 187 The local density approximation 191 Electronic structure calculations 195 The Generalized Gradient Approximation

198

Contents

vii

5.6 More acronyms: TDDFT, CDFT, and EDFT 200 Problems 207

Chapter 6 Electron–phonon interactions 210 6.1 The Fro¨hlich Hamiltonian 210 6.2 Phonon frequencies and the Kohn anomaly 213 6.3 The Peierls transition 216 6.4 Polarons and mass enhancement 219 6.5 The attractive interaction between electrons 222 6.6 The Nakajima Hamiltonian 226 Problems 230

Chapter 7 Superconductivity 232 7.1 The superconducting state 232 7.2 The BCS Hamiltonian 235 7.3 The Bogoliubov–Valatin transformation 237 7.4 The ground-state wave function and the energy gap 243 7.5 The transition temperature 247 7.6 Ultrasonic attenuation 252 7.7 The Meissner effect 254 7.8 Tunneling experiments 258 7.9 Flux quantization and the Josephson effect 265 7.10 The Ginzburg–Landau equations 271 7.11 High-temperature superconductivity 278 Problems 282

Chapter 8 Semiclassical theory of conductivity in metals 285 8.1 8.2 8.3 8.4 8.5

The Boltzmann equation 285 Calculating the conductivity of metals 288 Effects in magnetic fields 295 Inelastic scattering and the temperature dependence of resistivity Thermal conductivity in metals 304

299

viii

Contents

8.6 Thermoelectric effects 308 Problems 313

Chapter 9 Mesoscopic physics 315 9.1 Conductance quantization in quantum point contacts 315 9.2 Multi-terminal devices: the Landauer–Bu¨ttiker formalism 324 9.3 Noise in two-terminal systems 329 9.4 Weak localization 332 9.5 Coulomb blockade 336 Problems 339

Chapter 10 The quantum Hall effect 342 10.1 Quantized resistance and dissipationless transport 342 10.2 Two-dimensional electron gas and the integer quantum Hall effect 344 10.3 Edge states 353 10.4 The fractional quantum Hall effect 357 10.5 Quasiparticle excitations from the Laughlin state 361 10.6 Collective excitations above the Laughlin state 367 10.7 Spins 370 10.8 Composite fermions 376 Problems 380

Chapter 11 The Kondo effect and heavy fermions 383 11.1 Metals and magnetic impurities 383 11.2 The resistance minimum and the Kondo effect 385 11.3 Low-temperature limit of the Kondo problem 391 11.4 Heavy fermions 397 Problems 403

Bibliography 405 Index 411

Preface

The aim of this book is to make the quantum theory of condensed matter accessible. To this end we have tried to produce a text that does not demand extensive prior knowledge of either condensed matter physics or quantum mechanics. Our hope is that both students and professional scientists will find it a user-friendly guide to some of the beautiful but subtle concepts that form the underpinning of the theory of the condensed state of matter. The barriers to understanding these concepts are high, and so we do not try to vault them in a single leap. Instead we take a gentler path on which to reach our goal. We first introduce some of the topics from a semiclassical viewpoint before turning to the quantum-mechanical methods. When we encounter a new and unfamiliar problem to solve, we look for analogies with systems already studied. Often we are able to draw from our storehouse of techniques a familiar tool with which to cultivate the new terrain. We deal with BCS superconductivity in Chapter 7, for example, by adapting the canonical transformation that we used in studying liquid helium in Chapter 3. To find the energy of neutral collective excitations in the fractional quantum Hall effect in Chapter 10, we call on the approach used for the electron gas in the random phase approximation in Chapter 2. In studying heavy fermions in Chapter 11, we use the same technique that we found successful in treating the electron–phonon interaction in Chapter 6. Experienced readers may recognize parts of this book. It is, in fact, an enlarged and updated version of an earlier text, A Quantum Approach to the Solid State. We have tried to preserve the tone of the previous book by emphasizing the overall structure of the subject rather than its details. We avoid the use of many of the formal methods of quantum field theory, and substitute a liberal amount of intuition in our effort to reach the goal of physical understanding with minimal mathematical complexity. For this we pay the penalty of losing some of the rigor that more complete analytical ix

x

Preface

treatments can yield. The methods used to demonstrate results are typically simple and direct. They are expedient substitutes for the more thorough approaches to be found in some of the bulkier and more specialized texts cited in the Bibliography. Some of the problems at the ends of the chapters are sufficiently challenging that it took the authors a longer time to solve them than it did to create them. Instructors using the text may therefore find it a time-saver to see our versions of the solutions. These are available by sending to [email protected] an e-mail containing plausible evidence that the correspondent is in fact a busy instructor rather than a corner-cutting student pressed for time on a homework assignment. The earlier version of this text owed much to Harold Hosack and Philip Nielsen for suggested improvements. The new version profits greatly from the comments of Harsh Mathur, Michael D. Johnson, Sankar Das Sarma, and Allan MacDonald. Any mistakes that remain are, of course, ours alone. We were probably not paying enough attention when our colleagues pointed them out to us. Philip Taylor Cleveland, Ohio Olle Heinonen Minneapolis, Minnesota

Chapter 1 Semiclassical introduction

1.1 Elementary excitations The most fundamental question that one might be expected to answer is ‘‘why are there solids?’’ That is, if we were given a large number of atoms of copper, why should they form themselves into the regular array that we know as a crystal of metallic copper? Why should they not form an irregular structure like glass, or a superfluid liquid like helium? We are ill-equipped to answer these questions in any other than a qualitative way, for they demand the solution of the many-body problem in one of its most difficult forms. We should have to consider the interactions between large numbers of identical copper nuclei – identical, that is, if we were fortunate enough to have an isotopically pure specimen – and even larger numbers of electrons. We should be able to omit neither the spins of the electrons nor the electric quadrupole moments of the nuclei. Provided we treated the problem with the methods of relativistic quantum mechanics, we could hope that the solution we obtained would be a good picture of the physical reality, and that we should then be able to predict all the properties of copper. But, of course, such a task is impossible. Methods have not yet been developed that can find even the lowest-lying exact energy level of such a complex system. The best that we can do at present is to guess at the form the states will take, and then to try and calculate their energy. Thus, for instance, we might suppose that the copper atoms would either form a face-centered or body-centered cubic crystal. We should then estimate the relative energies of these two arrangements, taking into account all the interactions we could. If we found that the face-centered cubic structure had the lower energy we might be encouraged to go on and calculate the change in energy due to various small displacements of the atoms. But even though we found that all the small displacements that we tried only increased the energy of the 1

2

Semiclassical introduction

system, that would still be no guarantee that we had found the lowest energy state. Fortunately we have tools, such as X-ray diffraction, with which we can satisfy ourselves that copper does indeed form a face-centered cubic crystal, so that calculations such as this do no more than test our assumptions and our mathematics. Accordingly, the philosophy of the quantum theory of condensed matter is often to accept the crystal structure as one of the given quantities of any problem. We then consider the wavefunctions of electrons in this structure, and the dynamics of the atoms as they undergo small displacements from it. Unfortunately, we cannot always take this attitude towards the electronic structure of the crystal. Because we have fewer direct ways of investigating the electron wavefunction than we had for locating the nuclei, we must sometimes spend time questioning whether we have developed the most useful picture of the system. Before 1957, for example, people were unsuccessful in accounting for the properties of superconductors because they were starting from a ground state that was qualitatively different from what it is now thought to be. Occasionally, however, a new technique is introduced by means of which the symmetry of electronic states can be probed. An example is shown on the cover of this book. There the effect on the electronic structure of an impurity atom at the surface of a high-temperature superconductor is shown. The clover-leaf symmetry of the superconducting state is clearly seen in the scanning-tunneling-microscope image. The interest of the experimentalist, however, is generally not directed towards the energy of the ground state of a substance, but more towards its response to the various stimuli that may be applied. One may measure its specific heat, for example, or its absorption of sound or microwaves. Such experiments generally involve raising the crystal from one of its low-lying states to an excited state of higher energy. It is thus the task of the theorist not only to make a reasonable guess at the ground state, but also to estimate the energies of excited states that are connected to the ground state in a simple way. Because the ground state may be of little further interest once its form has been postulated, it is convenient to forget about it altogether and to regard the process of raising the system to a higher state as one of creating something where nothing was before. The simplest such processes are known as the creation of elementary excitations of the system. The usefulness of the concept of elementary excitations arises from a simple property that most many-body systems have in common. Suppose that there are two excited states, and that these have energies above the ground state of E 1 and E 2 , respectively. Then it is frequently the case that there will also be one particular excited state whose energy, E 3 , is not far

1.1 Elementary excitations

3

removed from ðE 1 þ E 2 Þ. We should then say that in the state of energy E 3 all the excitations that were present in the other two states are now present together. The difference
E between E 3 and ðE 1 þ E 2 Þ would be ascribed to an interaction between them (Fig. 1.1.1). If the states of energy E 1 and E 2 could not themselves be considered as collections of other excitations of lower energy then we say that these states represent elementary excitations of the system. As long as the interaction energy remains small we can with reasonable accuracy consider most of the excited states of a solid as collections of elementary excitations. This is clearly a very useful simplification of our original picture in which we just had a spectrum of energy levels which had no particular relationship to one another. At this point it is useful to consider a division of the possible types of elementary excitations into two classes, known as quasiparticle excitations and collective excitations. The distinction between these is best illustrated by some simple examples. We know that if we have a gas of noninteracting particles, we can raise the energy of one of these particles without affecting the others at all. Thus if the gas were originally in its ground state we could describe this process as creating an elementary excitation. If we were now to raise the energy of another particle, the energies of the excitations would clearly add up to give the energy of the doubly excited system above its ground state. We should call these particle excitations. If now we include some interactions between the particles of the gas, we should expect these particle excitations to decay, since now the excited particle would scatter off the unexcited ones, and its energy and momentum would gradually be lost. However, if the particles obeyed the Pauli Exclusion Principle, and the energy of the excitation was very low, there would be very few empty states into which the particle could be scattered. We should expect the excitation to have a sufficiently long lifetime for the description in terms of particles to

Figure 1.1.1. When two elementary excitations of energies E 1 and E 2 are present together the combined excitation has an energy E 3 that is close to E 1 þ E 2 .

4

Semiclassical introduction

be a useful one. The energies of such excitations will differ from those for noninteracting particles because of the interactions. It is excitations such as these that we call quasiparticles. A simple example of the other class of excitation is that of a sound wave in a solid. Because the interatomic forces in a solid are so strong, there is little profit in considering the motion of an atom in a crystal in terms of particle motion. Any momentum we might give to one atom is so quickly transmitted to its neighbors that after a very short time it would be difficult to tell which atom we had initially displaced. But we do know that a sound wave in the solid will exist for a much longer time before it is attenuated, and is therefore a much more useful picture of an excitation in the material. Since a sound wave is specified by giving the coordinates not of just one atom but of every atom in the solid, we call this a collective motion. The amplitude of such motion is quantized, a quantum unit of traveling sound wave being known as a phonon. A phonon is thus an example of a collective excitation in a solid. We shall now consider semiclassically a few of the more important excitations that may occur in a solid. We shall postpone the more satisfying quantum-mechanical derivations until a later chapter. By that time the familiarity with the concepts that a semiclassical treatment gives may reduce somewhat the opacity of the quantum-mechanical procedures.

1.2 Phonons The simplest example of collective motion that we can consider is that of a linear chain of equal masses connected by springs, as illustrated in Fig. 1.2.1. The vibrational modes of this system provide some insight into the atomic motion of a crystal lattice. If the masses M are connected by springs of force constant K, and we call the displacement of the nth mass from its equilibrium position yn , the equations

Figure 1.2.1. This chain of equal masses and springs supports collective motion in the form of traveling waves.

1.2 Phonons

5

of motion of the system are M

d 2 yn ¼ K½ðynþ1  yn Þ  ðyn  yn1 Þ dt2 ¼ Kðynþ1  2yn þ yn1 Þ:

ð1:2:1Þ

These equations are easily solved for any boundary conditions if we remember the recursion formula for cylindrical Bessel functions, dJn 1 ¼  ½Jnþ1 ðtÞ  Jn1 ðtÞ; 2 dt from which d 2 Jn 1 ¼ ½Jnþ2 ðtÞ  2Jn ðtÞ þ Jn2 ðtÞ: 4 dt2 The problem we considered in Section 1.1 was to find the motion of the masses if we displaced just one of them ðn ¼ 0, say) and then released it. The appropriate solution is then yn ðtÞ ¼ J2n ð!m tÞ where !2m ¼ 4K=M. This sort of behavior is illustrated in Fig. 1.2.2. The displacement of the zeroth mass, being given by J0 ð!m tÞ, is seen to exhibit oscillations which decay rapidly. After just a few oscillations y0 ðtÞ behaves as t1=2 cos ð!m tÞ. This shows that particle-like behavior, in which velocities are constant, has no relation to the motion of a component of such a system.

Figure 1.2.2. These Bessel functions are solutions of the equations of motion of the chain of masses and springs.

6

Semiclassical introduction

And this is quite apart from the fact that in a crystal whose atoms are vibrating we are not fortunate enough to know the boundary conditions of the problem. This direct approach is thus not very useful. We find it more convenient to look for the normal modes of vibration of the system. We make the assumption that we can write yn / eið!tþknaÞ ;

ð1:2:2Þ

where ! is some function of the wavenumber k, and a is the spacing between masses. This satisfies the equations of motion if !2 M ¼ Kðeika þ eika  2Þ; that is, if ! ¼ !m sin


1



2 ka

:

The solution (1.2.2) represents traveling waves of frequency ! and wavenumber (defined for our purposes by 2=, where  is the wavelength) equal to k. The group velocity v is given by d!=dk, the gradient of the curve shown in Fig. 1.2.3. We note that as ! approaches its maximum value, !m , the group velocity falls to zero. This explains why the Bessel function solution decayed to an oscillation of frequency !m after a short time, if we realize that the original equation for yn ðtÞ can be considered as a superposition of waves of all wavenumbers. The waves of low frequency, having a large group velocity, travel quickly away from the zeroth site, leaving only the highest-frequency oscillations, whose group velocity is zero.

Figure 1.2.3. The dispersion curve for the chain of masses and springs.

1.3 Solitons

7

It is formally straightforward enough to find the normal modes of vibration for systems more complicated than our linear chain of masses. The extension to three dimensions leads us to consider the polarization of the lattice waves, that is, the angle between k, which is now a vector, and the direction of displacement of the atoms. We can also introduce forces between atoms other than nearest neighbors. This makes the algebra of finding !ðkÞ more involved, but there are no difficulties of principle. Introduction of two or more different kinds of atom having different masses splits the graph of !ðkÞ into two or more branches, but as long as the restoring forces are all proportional to the displacement, then solutions like Eq. (1.2.2) can be found. A phonon is the quantum-mechanical analog of the lattice wave described by Eq. (1.2.2). A single phonon of angular frequency ! carries energy 0!. A classical lattice wave of large amplitude corresponds to the quantum situation in which there are many phonons present in one mode. We shall see later that a collection of phonons bears some similarity to a gas of particles. When two particles collide we know that the total momentum is conserved in the collision. If we allow two phonons to interact we shall find that the total wavenumber is conserved in a certain sense. For this reason phonons are sometimes called quasiparticles, although we shall avoid this terminology here, keeping the distinction between collective and particle-like behavior. 1.3 Solitons The chain of masses connected by Hookean springs that we considered in the previous section was a particularly easy problem to solve because the equations of motion (1.2.1) were linear in the displacements yn . A real solid, on the other hand, consists of atoms or ions having hard, mutually repulsive cores. The equations of motion will now contain nonlinear (i.e., anharmonic) terms. How do these affect the type of excitation we may find? If the amplitudes of the phonons are small then the effects of the anharmonic terms will be weak, and the problem can be treated as a system of interacting phonons. If the atomic displacements are large, on the other hand, then there arises a whole new family of elementary excitations known as solitary waves or solitons. In these excitations a localized wave of compression can travel through a solid, displacing the atoms momentarily but then leaving them as stationary as they were before the wave arrived. The term soliton suggests by its word ending that it is a purely quantummechanical concept, but this is not the case. Solitary waves in classical systems had been observed as long ago as 1834, but it was only when their

8

Semiclassical introduction

interactions were studied that it was found that in some cases two solitary waves could collide and then emerge from their collision with their shapes unchanged. This particle-like behavior led to the new terminology, which is now widely applied to solitary waves of all kinds. We can begin to understand the relation between phonons in a harmonic solid and solitary waves in an anharmonic solid with the aid of an exactly soluble model due to Toda. We start by considering the simplest possible model that can support a soliton, namely a one-dimensional array of hard rods, as illustrated in Fig. 1.3.1. If we strike the rod at the left-hand end of the array, it will move and strike its neighbor, which in turn will strike another block. A solitary wave of compression will travel the length of the array leaving all but the final block at rest. The speed of this soliton will be determined entirely by the strength of the initial impact, and can take on any positive value. The wave is always localized to a single rod, in complete contrast to a sound wave in a harmonic solid, which is always completely delocalized. Toda’s achievement was to find a model that interpolated between these two systems. He suggested a chain in which the potential energy of interaction between adjacent masses was of the form VðrÞ ¼ ar þ

a br e : b

ð1:3:1Þ

In the limit where b ! 0 but where the product ab is equal to a finite constant c we regain the harmonic potential, a 1 VðrÞ ¼ þ cr2 : b 2 In the opposite limit, where b ! 1 but ab ¼ c, we find the hard-rod potential for which V ! 1 if r 0 and V ! 0 if r > 0.

Figure 1.3.1. Through a series of elastic collisions, a solitary wave of compression propagates from left to right.

1.3 Solitons

9

We construct a chain of equilibrium spacing d by having the potential n VðRn  Rn1  dÞ act between masses located at Rn and Rn1 . In the notation where the displacement from equilibrium is yn ¼ Rn  nd, the equations of motion are

M

  d 2 yn bðynþ1 yn Þ bðyn yn1 Þ : ¼ a e  e dt2

If we now put yn  yn1  rn then we have

M

  d 2 rn brnþ1 brn brn1 : ¼ a e þ 2e  e dt2

One simple solution of this set of equations is the traveling wave for which ebrn  1 ¼ sinh2  sech2 ðn tÞ

ð1:3:2Þ

pffiffiffiffiffiffiffiffiffiffiffiffi with ¼ ab=M sinh , and  a number that determines both the amplitude of the wave and its spatial extent. Because the function sech2 ðn tÞ becomes small unless its argument is small, we see that the width of the solitary wave is around d=. The speed v of the wave is d=, which on substitution of the expression for becomes rffiffiffiffiffi  ab sinh  : v¼d M  For large-amplitude solitons the hard-rod feature of the potential dominates, and this speed becomes very large. For small-amplitude waves, pffiffiffion ffiffiffiffiffiffiffithe ffiffi other hand, sinh = ! 1, and we recover the speed of sound, d ab=M , of the harmonic chain. The example of the Toda chain illustrates a number of points. It shows how the inclusion of nonlinearities may completely alter the qualitative nature of the elementary excitations of a system. The complete solution of the classical problem involves Jacobian elliptic functions, which shows how complicated even the simplest nonlinear model system can be. Finally, it also presents a formidable challenge to obtain solutions of the quantum-mechanical version of this model for a chain of more than a few particles.

10

Semiclassical introduction

1.4 Magnons In a ferromagnet at a temperature below the Curie point, the magnetic moments associated with each lattice site l are lined up so that they all point in more or less the same direction. We call this the z-direction. In a simple model of the mechanism that leads to ferromagnetism, the torque acting on one of these moments is determined by the orientation of its nearest neighbors. Then the moment is subjected to an effective magnetic field, Hl , given by X Hl ¼ A kl 0 l0

where A is a constant, kl 0 is the moment at the site l 0 , and the sum proceeds only over nearest neighbors. The torque acting on the moment at l is kl  Hl and this must be equal to the rate of change of angular momentum. Since the magnetic moment of an atom is proportional to its angular momentum we have X dkl kl  kl 0 : / k l  Hl ¼ A dt l0

ð1:4:1Þ

As in the problem of the chain of masses and springs we look for a wave-like solution of these equations which will represent collective behavior. With the assumption that deviations of the kl from the z-direction are small we write kl ¼ kz þ k? eið!tþk
lÞ ; where kz points in the z-direction and where we have used the useful trick of writing the components in the xy plane as a complex number, kx þ iky . That is, if k? is in the x-direction, then ik? is in the y-direction. On substitution in (1.4.1) we have, neglecting terms in k2? , X ik
l 00 ðe  1Þ: i!k? / kz  k? l 00

Here the l 00 are the vectors joining the site l to its nearest neighbors. In a crystal with inversion symmetry the summation simplifies to X sin2 ð 12 k
l 00 Þ: 2 l 00

This equation tells us that k? rotates in the xy plane with frequency X sin2 ð 12 k
l 00 Þ; ð1:4:2Þ ! / jkz j l 00

1.4 Magnons

11

the phase difference between atoms separated by a distance r being just k
r. This sort of situation is shown in Fig. 1.4.1, which indicates the direction in which k points as one moves in the direction of k along a line of atoms. Because the magnetic moment involved is usually due to the spin of the electron, these waves are known as spin waves. The quantum unit of such a wave is known as a magnon. The most important difference to note between phonons and magnons concerns the behavior of !ðkÞ for small k (Fig. 1.4.2). For phonons we found that the group velocity, d!=dk, tended to a constant as k tended to zero, this constant being of course the velocity of sound. For magnons,

Figure 1.4.1. The k-vector of this spin wave points to the left.

Figure 1.4.2. The dispersion curve for magnons is parabolic in shape for small wave numbers.

12

Semiclassical introduction

however, the group velocity tends to zero as k becomes small. This is of great importance in discussing the heat capacity and conductivity of solids at low temperatures. In our simplified model we had to make some approximations in order to derive Eq. (1.4.2). This means that the spin waves we have postulated would eventually decay, even though our assumption about the effective field had been correct. In quantum-mechanical language we say that a crystal with two magnon excitations present is not an exact eigenstate of the system, and that magnon interactions are present even in our very simple model. This is not to say that a lattice containing phonons is an exact eigenstate of any physical system, for, of course, there are many factors we left out of consideration that limit the lifetime of such excitations in real crystals. Nevertheless, the fact that, in contrast to the phonon system, we cannot devise any useful model of a ferromagnet that can be solved exactly indicates how very difficult a problem magnetism is.

1.5 Plasmons The model that we used to derive the classical analog of phonons was a system in which there were forces between nearest neighbors only. If we had included second and third nearest neighbors we might have found that the dispersion curve (the graph of ! against k) had a few extra maxima or minima, but ! would still be proportional to k for small values of k. That is, the velocity of sound would still be well defined. However, if we wanted to consider a three-dimensional crystal in which the atoms carried an electric charge e we would find some difficulties (Problem 1.3). Although the Coulomb force of electrostatic repulsion decays as r2 , the number of neighbors at a distance of around r from an atom increases as r2 , and the equation for ! has to be treated very carefully. The result one finds for longitudinally polarized waves is that as k tends to zero ! now tends to a constant value p , known as the ion plasma frequency and given by 2p ¼

4 0 e2 M

ð1:5:1Þ

where e is the charge and M the mass of the particles, and 0 the number of particles per unit volume of the crystal. We thus conclude that a Coulomb lattice does not support longitudinal sound waves in the usual sense, since p is no longer proportional to the wavenumber k.

1.5 Plasmons

13

This raises an interesting question about the collective excitations in metals. We think of a metal as composed of a lattice of positively charged ions embedded in a sea of nearly free conduction electrons. The ions interact by means of their mutual Coulomb repulsion, and so we might expect that the lattice would oscillate at the ion plasma frequency, p . Of course, we know from everyday experience that metals do carry longitudinal sound waves having a well defined velocity, and so the effective interaction between ions must be short-range in nature. It is clear then that the conduction electrons must play some part in this. This leads to the concept of screening. We must suppose that in a sound wave in a metal the local variations in charge density due to the motion of the positively charged ions are cancelled out, or screened, by the motion of the conduction electrons. This influx of negative charge reduces the restoring force on the ions, and so the frequency of the oscillation is drastically reduced. That is to say, the ions and the electrons move in phase, and we should be able to calculate the velocity of sound by considering the motion of electrically neutral atoms interacting through short-range forces. But if there is a mode of motion of the metallic lattice in which the electrons and ions move in phase, there should also be a mode in which they move out of phase. This is in fact the case, and it is these modes that are the true plasma oscillations of the system, since they do give rise to variations in charge density in the crystal. Their frequency, as we shall now show, is given for long wavelengths by Eq. (1.5.1), where now the ionic mass, M, is replaced by the electron mass, m. (In fact m should really be interpreted as the reduced mass of the electron in the center-of-mass coordinate system of an electron and an ion; however, since the mass of the ion is so many times greater than that of the electron this refinement is not necessary.) We shall look for plasma oscillations by supposing that the density of electrons varies in a wave-like way, so that

ðrÞ ¼ 0 þ q cos qx:

ð1:5:2Þ

This density must be considered as an average over a distance that is large compared with the distance between an electron and its near neighbors, but small compared with q1 . When the electrons are considered as point particles the density is really a set of delta-functions, but we take a local average of these to obtain ðrÞ. The electrostatic potential ðrÞ will then be of the same form, ðrÞ ¼ 0 þ q cos qx;

ð1:5:3Þ

14

Semiclassical introduction

and will be related to the density of electrons ðrÞ and of ions ion ðrÞ by Poisson’s equation, r2 ðrÞ ¼ 4e½ ðrÞ þ ion ðrÞ:

ð1:5:4Þ

If we take ion to be equal to 0 we have on substitution of (1.5.2) and (1.5.3) in (1.5.4) q2 q ¼ 4e q : The potential energy density is then 2 2 1 1 4e q e  ¼ cos2 qx: 2 2 q2

The average kinetic energy density, 12 m v2 , is also altered by the presence of the plasma wave. The amplitude of the oscillation is q = 0 q and so an electron moving with the plasma suffers a velocity change of ð _ q = 0 qÞ sin qx with

_ q the time derivative of q . We must also take into account the heating of the plasma caused by adiabatic compression; since the fractional increase in density is ð q = 0 Þ cos qx this effect will add to the velocity an amount of the order of ðv0 q = 0 Þ cos qx. If we substitute these expressions into the classical Hamiltonian and take the spatial average we find an expression of the form   2 2

_ q 2 v0 q 2 1 4e q 1 H ¼ m

þ þ 0 4 q2 4

0 q

0   2 m 2 2 4 0 e 2 2 2 _ þ

þ

v q ¼ q 0 4 0 q2 q m with a constant of order unity. This is the Hamiltonian for a classical oscillator of frequency !q ¼ ð!2p þ 2 v20 q2 Þ1=2 ; where !p is the electron plasma frequency, ð4 0 e2 =mÞ1=2 . The important point to note about this approximate result is that !p is a very high frequency for electrons in metals, of the order of 1016 Hz, which corresponds to a quantum energy 0!p of several electron volts. Quanta of such oscillations are known as plasmons, and cannot be created thermally,

1.6 Electron quasiparticles

15

since most metals melt at a thermal energy of the order of 0.1 eV. Thus the plasma oscillations represent degrees of freedom of the electron gas that are ‘‘frozen out.’’ This accounts for the paradoxical result that the interaction between electrons is so strong that it may sometimes be ignored. One may contrast this situation with that of an atom in the solid considered in Section 1.2. There it was found that any attempt to give momentum to a single atom just resulted in the creation of a large number of collective excitations of low energy. An electron in the electron gas, on the other hand, retains its particlelike behavior much longer as it may not have the energy necessary to create a single plasmon.

1.6 Electron quasiparticles Most of the phenomena we have considered so far have been collective motions. Our method of solving the equations of motion was to define a collective coordinate, yk , which was a sum over the whole lattice of some factor times the particle coordinates, yl . If we had had an infinite number of particles, then the coordinates of any one particle would only have played an infinitesimal role in the description of the motion. We now turn to the consideration of excitations in which the motion of one particle plays a finite role. In Section 1.1 we have already briefly considered the problem of an assembly of particles that obey the Pauli Exclusion Principle. A gas of electrons is an example of such a system. As long as the electrons do not interact then the problem of classifying the energy levels is trivial. The momentum p of each of the electrons is separately conserved, and each has an energy E ¼ p2 =2m. The spin of each electron may point either up or down, and no two electrons may have the same momentum p and spin s. If there are N electrons, the ground state of the whole system is that in which the N individual electron states of lowest energy are occupied and all others are empty. If the most energetic electron has momentum pF , then all states for which jpj < jpF j will be occupied. The spherical surface in momentum space defined by jpj ¼ pF is known as the Fermi surface (Fig. 1.6.1). The total energy of the system is then ET ¼

X s;jpjqc

eiq
r

4e2 : q2

This gives a function rather like the Yukawa potential, ðe2 =rÞ exp ðqc rÞ;

2.7 The random phase approximation and screening

65

which is an example of a screened Coulomb potential. An electron at a point tends to repel all the others from its vicinity, which effectively gives a region of net positive charge surrounding each electron. This partially cancels (or screens) the mutual repulsion of the electrons at large distances. We can understand the concept of screening within the framework of perturbation theory by considering the effect of a weak sinusoidal potential applied to the electron gas. The total Hamiltonian would then be H ¼ H0 þ V þ U; with V the Coulomb interaction of the electrons, and U the externally applied potential, being given by U ¼ 2Uq cos q
r; which in the notation of second quantization is U ¼ Uq

X

ðcypþq cp þ cypq cp Þ:

ð2:7:3Þ

p

Perturbation theory can then be used to express the wavefunction and energy as a power series in ðU þ VÞ, which we can then rearrange in the form of a power series in U. In the Rayleigh–Schro¨dinger expansion for the wavefunction, for example, we have ji ¼ ji þ ðE 0  H0 Þ1 ð1  jihjÞðU þ VÞji þ    ¼ ½ji þ ðE 0  H0 Þ1 ð1  jihjÞVji þ    þ ðE 0  H0 Þ1 ð1  jihjÞUji þ ðE 0  H0 Þ1  ð1  jihjÞVðE 0  H0 Þ1 ð1  jihjÞUji þ    þ ½terms of order U 2  þ    : We investigate the response of the system to weak applied fields by examining those terms that are linear in U. We notice that we could write the sum of these contributions in the form ðE 0  H0 Þ1 ð1  jihjÞUeff ji

66

Second quantization and the electron gas

if we were to define an effective potential Ueff by the equation Ueff ¼ U þ VðE 0  H0 Þ1 ð1  jihjÞU þ UðE 0  H0 Þ1 ð1  jihjÞV þ    :

ð2:7:4Þ

Let us now substitute for V, the Coulomb interaction, and for U, and simplify U by considering only the first part of the summand in expression (2.7.3). Then the second term on the right-hand side of Eq. (2.7.4), for example, becomes 1 2

X 0

k;k ;q 0

Vq 0 cykq 0 cyk 0 þq 0 ck 0 ck ðE 0  H0 Þ1 ð1  jihjÞ

X

Uq cypþq cp :

ð2:7:5Þ

p

This component of Ueff is thus a sum of terms that annihilate the electrons in states p; k, and k 0 , and create them again in states p þ q; k 0 þ q 0 , and k  q 0 . Such complicated processes could be represented by diagrams like Fig. 2.7.3, and are not easily interpreted in physical terms. There are, however, some terms from this sum that contribute in a special way to Ueff , and whose effect has a simple interpretation. Let us look, for example, at the term in which q ¼ q 0 and p þ q ¼ k. Then we can join together the two parts of Fig. 2.7.3 and represent the scattering in the form shown in Fig. 2.7.4. We note the interesting fact that the net result of

Figure 2.7.3. In this diagram an electron is scattered by the externally applied potential U, and then two other electrons interact through their Coulomb repulsion V.

2.7 The random phase approximation and screening

67

Figure 2.7.4. In this special case of the preceding diagram the same electron participates in both scattering processes.

these interactions is that an electron is scattered from k 0 to k 0 þ q. The physical interpretation of this is that the externally applied potential U causes a density fluctuation in the electron gas, and it is this density fluctuation that scatters the electron originally in the state k 0 . The contribution to expression (2.7.5) from these processes is 1 2

X

Vq np ð1  npþq ÞðE p  E pþq Þ1

X

Uq cyk 0 þq ck 0 ;

k0

p

the energy denominator ðE p  E pþq Þ1 coming from the effect of U on the state . There is also a set of terms for which q ¼ q 0 and p þ q ¼ k 0 , which contribute an equal amount again. To these must then be added a set of terms from the third component of the right-hand side of expression (2.7.4) in which V acts first, followed by U. From these we select the terms shown in Fig. 2.7.5, which contribute an amount X

Vq npþq ð1  np ÞðE pþq  E p Þ1

p

X

Uq cykþq ck :

k

We identify the sums over k and k 0 as just being equal to U itself, and so our approximation for Eq. (2.7.4) becomes Ueff ’ U þ Vq

X p

npþq  np U þ : E pþq  E p

If we make similar approximations for the terms of higher order in this series we shall have contributions of the form shown in Fig. 2.7.6, which can be

68

Second quantization and the electron gas

Figure 2.7.5. Here an electron is first scattered by another electron and then by the applied potential U.

Figure 2.7.6. In this diagram an electron scattered by the externally applied potential passes its extra momentum to another electron through a chain of Coulomb interactions.

given a simpler aspect if we think of the scattering of the electron from p þ q to p as the creation of a particle–hole pair, and represent the hole of wavenumber p þ q by an arrow pointing backwards. Figure 2.7.6 can then be redrawn as in Fig. 2.7.7. All these complicated diagrams will have the net effect of scattering just one electron and increasing its wavenumber by an

69

2.7 The random phase approximation and screening

Figure 2.7.7. This redrawing of Fig. 2.7.6. depicts the absence of an electron in a given k-state as a line pointing backwards.

amount q. They in fact form a geometric series, which allows us to write Ueff

X

X

  npþq  np npþq  np 2 2 þ Vq ’ 1 þ Vq þ  U E pþq  E p E pþq  E p p p ¼

U ; ðqÞ

where ðqÞ ¼ 1  Vq

X npþq  np : E pþq  E p p

ð2:7:6Þ

Defined in this way, ðqÞ plays the role of a dielectric constant in that it is the factor by which the applied field, which may be likened to the electric displacement D, exceeds the actual field E within the electron gas. Because a conductor like the electron gas cannot support a steady uniform electric field

70

Second quantization and the electron gas

we expect ðqÞ to become infinite as q ! 0. This does indeed occur, since Vq varies as q2 while the summation over p remains finite. Because any potential can be analyzed into its Fourier components, this theory gives us an approximate result for the modification by the electron gas of a potential of any shape. If, for example, we put a charged impurity into the electron gas the potential U would be Ze2 =r. This is the sum of Fourier components 4Ze2 =q2 , each of which would be screened in our linear approximation by the dielectric constant ðqÞ. The result would be a screened potential of Fourier transform 4Ze2 =q2 X Ueff ðqÞ ’ : 1  ð4e2 =q2 Þ ½ðnpþq  np Þ=ðE pþq  E p Þ p

This expression remains finite as q ! 0, and thus represents a potential that again has some similarity to the Yukawa potential. Improvements on this theory are fairly arduous, even in the linear approximation. The most obvious correction would be to include exchange scattering in our analysis by considering processes of the type shown in Fig. 2.7.8 in addition to those of Fig. 2.7.4. In higher orders, however, these processes do not reduce to simple products that can be summed as geometric series, and their investigation lies beyond the scope of this book.

Figure 2.7.8. Exchange processes such as this one, in which the final k-state of one electron is identical to the initial state of another electron, are neglected in deriving Eq. (2.7.6).

2.8 Spin waves in the electron gas

71

2.8 Spin waves in the electron gas An interesting application of the random phase approximation occurs in the theory of metallic ferromagnets. We saw in Section 2.4 that in the Hartree– Fock approximation the exchange energy is negative. It is illustrated in Problem 2.3 that at low electron densities this exchange energy becomes large enough in comparison to the kinetic energy that a magnetized phase, in which all the electron spins are pointing in the same direction, appears the most stable. While we are aware of the failings of the Hartree–Fock approximation and should not accept its predictions unquestioningly, we are led to the conclusion that in a metal such as nickel it is the presence of some effective electron interaction that gives rise to ferromagnetism. We cannot accept an alternative model of the type we assumed in Section 1.4, in which each spin is localized at a lattice site, because measurements show there to be a nonintegral number of spins per atom in this metal. We thus assume a Hamiltonian of the form X H¼ E k cyk;s ck;s k;s

þ

1 2

X 0

y

y

Vq 0 c kq 0 ;s ck 0 þq 0 ;s 0 ck 0 ;s 0 ck;s ;

k;k ;q 0 ;s;s 0

which is identical to our previous form for the Hamiltonian of the electron gas except that we shall take Vq 0 to be an effective interaction, and not necessarily the pure Coulomb interaction. We make the assumption that the ground state of this system is magnetized, so that N# , the total number of electrons with spin down, is greater than N" . We now look for collective excitations of this system that can be interpreted as spin waves. We first consider the commutator of the Hamiltonian with the operator Byp ¼ cypþq" cp# :

ð2:8:1Þ

This differs from the operator considered in the previous section in that it reverses the spin of the electron on which it acts, and can thus change the magnetization of the electron gas. We find X ½H; Byp  ¼ ðE pþq  E p ÞByp þ Vq 0 ðcypþqq 0 " cykþq 0 ;s ck;s cp# q 0 ;k;s

þ cypþq" cykq 0 ;s cpq 0 # ck;s Þ:

ð2:8:2Þ

72

Second quantization and the electron gas

Figure 2.8.1. Of these scattering processes we retain only those in which one of the final electron states is the same as one of the initial ones.

The summation is thus over interactions of the form shown in Fig. 2.8.1. We now make the random phase approximation by retaining only those processes in which one electron leaves in a state identical to one of the original states. We thus select from Fig. 2.8.1(a) only those processes for which k þ q 0 ; s ¼ p# or for which k; s ¼ p þ q  q 0 ". With a similar selection from the processes of Fig. 2.8.1(b) we find that Eq. (2.8.2) becomes ½H; Byp  ’ ðE pþq  E p ÞByp þ

X

Vq 0 ½ðnpq 0 #  npq 0 þq" ÞByp

q0

þ ðnpþq"  np# ÞBypq 0 ;

ð2:8:3Þ

where Bypq 0 ¼ cypq 0 þq" cpq 0 # : This can be characterized as a random phase approximation because it retains only those terms involving the number operators, and it is the sum

2.8 Spin waves in the electron gas

73

of the number operators that gives the zeroth Fourier component of the density. The fact that the right-hand side of Eq. (2.8.3) involves terms in Bypq 0 shows that Byp does not create eigenstates of H when acting on the ground state. It does, however, suggest that we once again form a linear combination of these operators by writing By ¼

X

p Byp ;

p

where the p are constants. If this operator does indeed create spin waves of energy 0!q we shall find X

p ½H; Byp  ¼ 0!q

p

X

p Byp :

p

We substitute in this relation from Eq. (2.8.3) and equate the coefficients of Byp to find ð0!q  E pþq þ E p Þp ¼

X

Vq 0 ½ðnpq 0 #  npq 0 þq" Þp

q0

þ ðnpþqþq 0 "  npþq 0 # Þpþq 0 : At this point we simplify the problem by assuming that Vq 0 can be taken as a positive constant V. We can then write ð0!q  E pþq þ E p  VN# þ VN" Þp ¼ V

X

ðnp 0 þq"  np 0 # Þp 0 ;

p0

where we have written p 0 for p þ q 0 . This can be solved by noting that the right-hand side is independent of p. We can thus multiply both sides of this equation by a factor npþq"  np# ; 0!q  E pþq þ E p  VN# þ VN" sum over p, and find V

X p

npþq"  np# ¼ 1: 0!q  E pþq þ E p þ VðN"  N# Þ

74

Second quantization and the electron gas

This equation determines !q . For small q, which is the regime in which the random phase approximation is best justified, we can expand the left-hand side binomially to find  X 0!q  E pþq þ E p 1 ðnpþq"  np# Þ 1  N"  N# p VðN"  N# Þ þ



0!q  E pþq þ E p VðN"  N# Þ

2



    ¼ 1:

If E p is just the free-electron energy, 02 p2 =2m, and we retain only terms of order q2 or greater, then this reduces to  X npþq"  np#  02 04 ðp
qÞ2 2 0!q ¼ ð2p
q þ q Þ þ 2 N"  N# 2m m VðN"  N# Þ p ¼

02 q2 ð þ Þ; 2m

ð2:8:4Þ

where  is a constant of order unity and independent of V, while is inversely proportional to V. These constants are most simply evaluated by considering the ground state of the system to consist of two filled Fermi spheres in momentum space – a large one for the down-spin electrons and a small one for the up-spin electrons. The form of the magnetic excitation spectrum is then as shown in Fig. 2.8.2, and consists of two branches. The spin waves have an energy 0!q that increases as q2 for small q, and they represent the collective motion of the system. There are, however, also the quasiparticle excitations of energy around VðN#  N" Þ that are represented by the diagonal terms in Eq. (2.8.3). This calculation presents a very much oversimplified picture of magnons in a metal, and should not be taken too seriously. It has the disadvantage, for instance, that states of the system in which spin waves are excited are eigenstates of S" , the total spin in the up direction, but not of S 2 , the square of the total spin angular momentum. The model suffices to show, however, the possibility of the existence of a type of magnon quite dissimilar to that introduced in the localized model of Section 1.4. It is also interesting to note that there are some materials, such as palladium, in which the interactions are not quite strong enough to lead to ferromagnetism, but are strong enough to allow spin fluctuations to be transmitted an appreciable distance before decaying. Such critically damped spin waves are known as paramagnons.

Problems

75

Figure 2.8.2. The spectrum of elementary excitations of the ferromagnetic electron gas. The lower branch shows the magnons while the upper band represents quasiparticle excitations.

Problems 2.1 Using the definitions of cp and cyp given, verify that fcp ; cyp 0 g ¼ pp 0 ;

fcp ; cp 0 g ¼ fcyp ; cyp 0 g ¼ 0:

2.2 Verify the statement that dW=dp as defined by Eq. (2.4.5) becomes infinite as p ! pF , the radius of the Fermi surface. 2.3 In the Hartree–Fock approximation the energy of the electron gas is composed of kinetic and exchange energies. In a certain set of units the kinetic energy per electron is 2.21 rydbergs and the exchange energy 0:916 rydbergs when the gas is at unit density and zero temperature, and the up- and down-spin levels are equally populated. Estimate the density at which a magnetic phase, in which all spins are pointing up, becomes the more stable one. 2.4 The operators k0 and k1 are defined in terms of electron annihilation and creation operators by the relations

k0 ¼ uk ck"  vk cyk# ;

k1 ¼ vk cyk" þ uk ck# ;

where cyk" , for instance, creates an electron of wavenumber k with spin

76

Second quantization and the electron gas

up, and uk and vk are real constants such that u2k þ v2k ¼ 1. What are the various anticommutation relations of the and y ? 2.5 Verify that X



nk ; H ¼ 0

k

for the electron gas. 2.6 Verify Eq. (2.7.1). 2.7 Verify that ½k ; k 0  ¼ 0. 2.8 Calculate the contribution to Ueff as defined in Eq. (2.7.4) of the exchange scattering processes shown in Fig. 2.7.8. 2.9 The theory of the dielectric constant of the electron gas can be generalized to include the responses to applied fields that vary with time. If a potential UðrÞei!t is applied then scattering of an electron occurs by absorption of a photon of energy 0!, and the energy denominator of Eq. (2.7.6) is modified to give ðq; !Þ ¼ 1  Vq

X p

npþq  np : E pþq  E p þ 0!

Show that for vanishingly small q the dielectric constant itself vanishes when ! is the plasma frequency !p . 2.10 Evaluate the constants  and of Eq. (2.8.4). 2.11 If the sum of coefficients  þ in Eq. (2.8.4) becomes negative, then the magnetic system will be unstable. Use your answer to Problem 2.10 to find the minimum value that VðN#  N" Þ=E F must have to ensure that the magnet is stable. (Here E F is the Fermi energy of the unmagnetized system.) Does your result agree qualitatively with the semiclassical argument that N#  N" should be equal to the difference between the integrated densities of states N ðE F# Þ  N ðE F" Þ? 2.12 Sketch a contour map of ðq; !Þ as determined from the expression given in Problem 2.9. That is, estimate the sign and magnitude of ðq; !Þ for various q and !, and plot lines of constant  in the q–! plane.

77

Problems

2.13 Consider a system consisting of a large number N of spinless interacting fermions in a large one-dimensional box of length L. There are periodic boundary conditions. The particles interact via a delta-function potential, and so the Hamiltonian is H¼

X k

y

Ak2 ck ck þ ðV=2LÞ

X

y

y

ckq ck 0 þq ck 0 ck

k;k 0 ;q

with A and V constants. The sums proceed over all permitted values of k, k 0 , and q. That is, the terms with q ¼ 0 are not excluded from the sum. (a) Calculate the energy of the ground state of the noninteracting system. (b) Calculate the energy of the ground state of the interacting system in the Hartree–Fock approximation. (c) State in physical terms why the answer you obtained to part (b) must be an exact solution of the problem.

Chapter 3 Boson systems

3.1 Second quantization for bosons In the formalism that we developed for dealing with fermions the number operator, np , played an important role, as we found that the Hamiltonian for the noninteracting system could be expressed in terms of it to give X H0 ¼ E k nk : k

Now we turn to the consideration of systems in which we can allow more than one particle to occupy the same state. This time we shall need to define a number operator that has not only the eigenvalues 0 and 1, but all the nonnegative integers. The wavefunctions
that describe the noninteracting system will no longer be determinants of one-particle states, but will be symmetrized products of them, such that
remains unaltered by the interchange of any two particles. In analogy with the fermion case we define annihilation and creation operators for boson systems X pffiffiffiffi ap ¼ np jn1 ; . . . ðnp  1Þ; . . .ihn1 ; . . . np ; . . . j ð3:1:1Þ fni g

and ayp ¼

X pffiffiffiffi np jn1 ; . . . np ; . . .ihn1 ; . . . ðnp  1Þ; . . . j:

ð3:1:2Þ

fni g

The summation is understood to be over all possible sets of numbers ni , including np , with the sole condition that np > 0. These operators reduce or pffiffiffiffi increase by one the number of particles in the pth state. The factor of np is 78

3.1 Second quantization for bosons

79

included so that the combination ayp ap will correspond to the number operator and have eigenvalues np . We do, in fact, find that with these definitions X ayp ap ¼ np j . . . np ; . . .ih. . . np ; . . . j; fni g

so that ayp ap j . . . np . . .i ¼ np j . . . np . . .i: On the other hand, ap ayp j . . . np . . .i ¼ ðnp þ 1Þj . . . np . . .i and so ap ayp  ayp ap ¼ 1: We write this as ½ap ; ayp  ¼ 1; which says that the commutator of ap and ayp is equal to unity. We can further show that ½ayp ; ayp 0  ¼ ½ap ; ap 0  ¼ 0 ½ap ; ayp 0  ¼ pp 0 : These results are in terms of commutators rather than anticommutators because of the fact that we form the same wavefunction irrespective of the order in which we create the particles. We can then write the Hamiltonian for a noninteracting system of bosons in the form X X H0 ¼ E k ayk ak ¼ E k nk : k

k

An important difference between the fermion and boson systems that we consider is that while for the Fermi systems the total number of particles, N, is constant in time, this is not generally so for true Bose systems, where N may be determined by thermodynamic considerations; for example, the total

80

Boson systems

number of phonons present in a solid may be increased by raising the temperature of the system. On the other hand, there are also systems such as atoms of 4 He for which N is conserved but which behave as pseudobosons in that their behavior is approximately described by boson commutation relations. This distinction will be made clearer in Section 3.3.

3.2 The harmonic oscillator The simplest example of a system of noninteracting bosons is provided by the case of the three-dimensional harmonic oscillator, where a particle of mass m is imagined to be in a potential 12 m!2 r2 . The Hamiltonian is H¼

3 X 1 ½ p2i þ ðm!xi Þ2 ; 2m i¼1

where the three components of momentum and position obey the commutation relations ½xi ; pj  ¼ i0 ij : We then define rffiffiffiffiffiffiffiffiffiffiffiffi 1 ðm!xi þ ipi Þ; ai ¼ 2m!0

ayi ¼

rffiffiffiffiffiffiffiffiffiffiffiffi 1 ðm!xi ¼ ipi Þ; 2m!0

ð3:2:1Þ

and are not in the least surprised to find that y

½ai ; a j  ¼ ij and that H¼

X

y 1 2 0!ða i ai

þ ai ayi Þ

i

¼

X

ðni þ 12Þ0!;

i y

where ni ¼ a i ai . In Section 3.1 we started our discussion of boson systems with the assumption that there was a number operator whose eigenvalues were the positive integers and zero, and deduced the commutation relations for the a and ay . What we could have done in this section is to proceed in the reverse direction,

3.2 The harmonic oscillator

81

starting with the commutation relations and hence deducing that the eigenvalues of ni are the natural numbers. Our solution to the harmonic oscillator problem is then complete. The eigenfunctions are constructed from the y ground state by creating excitations with the a i , j
i ¼ A

3 Y

y

ðai Þni j0i;

i¼1

P the energy eigenvalues of these states being simply i ðni þ 12Þ0!. (Here A is some normalizing constant.) As an exercise in using boson annihilation and creation operators we shall now consider a simple example – the anharmonic oscillator in one dimension. To the oscillator Hamiltonian, H0 ¼

1 ½ p2 þ ðm!xÞ2 ; 2m

we add a perturbation V ¼ x3 : Since rffiffiffiffiffiffiffiffiffi 0 ðay þ aÞ; x¼ 2m!

ð3:2:2Þ

then 

0 x ¼  2m! 3

3=2

ðay þ aÞ3

and 

1 H ¼ 0! a a þ 2 y





0 þ 2m!

3=2

ðay þ aÞ3 :

We try to find the energy levels of the anharmonic oscillator by using perturbation theory. For the unperturbed state j
i, which we can write as jni (since it is characterized solely by its energy (n þ 12Þ0!Þ, the perturbed energy to second order in V will be   1 1 E ¼ nþ 0! þ hnjVjni þ hnjV Vjni: 2 E n  H0

ð3:2:3Þ

82

Boson systems

In this particular case the first-order energy change, hnjVjni, will be zero, since V is a product of an odd number of annihilation or creation operators, and cannot recreate the same state when it operates upon jni. In second order, however, we shall find terms like 

2



0 2m!

3

hnjay aa

1 ay aay jni; E n  H0

ð3:2:4Þ

which will give a contribution. From the definitions (3.1.1) and (3.1.2) we have ay aay jni ¼ ðn þ 1Þ3=2 jn þ 1i; so that ðE n  H0 Þ1 ay aay jni ¼ ½n0!  ðn þ 1Þ0!1 ðn þ 1Þ3=2 jn þ 1i: Thus the expression (3.2.4) is equal to 

2



0 2m!

3

nðn þ 1Þ2 02 2 : ¼ nðn þ 1Þ2 0! 8m3 !4

The energy to second order will be the sum of a handful of terms similar to this, and is easily enough evaluated. Note that had we been using wavefunctions
n ðxÞ instead of the occupation-number representation jni we would have had to calculate the energy shift by forming integrals of the form ð
*n ðxÞx3
n 0 ðxÞ dx; which would have required knowledge of the properties of integrals of Hermite polynomials. Note also that in this particular case the perturbation series must eventually diverge, because the potential x3 becomes indefinitely large and negative for large negative x. This does not detract from the usefulness of the theory for small x.

3.3 Quantum statistics at finite temperatures In the last section we saw that the excited energy levels of a harmonic oscillator could be regarded as an assembly of noninteracting bosons. It is clear that for such systems the total number of bosons present is not constant,

3.3 Quantum statistics at finite temperatures

83

since exciting the oscillator to a higher level is equivalent to increasing the number of bosons present. While we were considering the electron gas we always had a Hamiltonian that conserved the total number of particles, so that we were then able to write the equation

H;

X



nk ¼ 0:

k

This was because any term in H that contained annihilation operators always contained an equal number of creation operators. In the boson case this was not so, as it is easily verified that ½ðay þ aÞ3 ; ay a 6¼ 0; and so the interactions in the anharmonic oscillator change the total number of particles. This leads us to the consideration of systems at temperatures different from zero, for if the system of noninteracting bosons is at zero temperature, then there are no bosons present, and we have nothing left to study. At a finite temperature the system will not be in its ground state, but will have a wavefunction in which the various k-states are occupied according to the rules of statistical mechanics. This contrasts with the system of noninteracting fermions, where at zero temperature j
i ¼ j1; 1; . . . 1; 0; 0; . . .i: If the density of fermions is reasonably large, as in the case of electrons in a metal, the average energy per particle is large compared with thermal energies. Thermal excitation is then only of secondary importance in determining the total energy of the system. In the case of bosons, however, the thermal energy is of primary interest, and so we now turn briefly to a consideration of the form we expect j
i to take at a finite temperature T. A fundamental result of statistical mechanics is that the probability of a system being in a state jii of energy E i is proportional to eE i where  ¼ 1=kT and k is Boltzmann’s constant. Thus the average value of a quantity A that has values Ai in the states jii is given by X

Ai eE i i A ¼ X : eE i i

84

Boson systems

This can be expressed as H

TrðAe Þ A ¼ H Trðe Þ

ð3:3:1Þ

where the operation of taking the trace is defined by X h jjAeH j j i: TrðAeH Þ ¼ j

We show this by using the identity operator (2.1.6) to write X h jjAjiihijeH j j i TrðAeH Þ ¼ i; j

¼

X

h jjAjiieE j ij

i; j

¼

X

Ai eE i :

i

Fortunately, a trace is always independent of the choice of basis functions, and so here we have chosen the most convenient set, j j i, the eigenfunctions of the Hamiltonian. When the Hamiltonian refers to a system of interacting bosons whose total number N is not conserved, the operation of taking the trace must include summing over all possible values of N, as these are all valid states of the system. But while it is the case that for true bosons N may not be constant, there are some systems in which the total number of particles is conserved, and whose commutation relations are very similar to those for bosons. We shall see in the theory of superconductivity that an assembly of bound pairs of electrons has some similarity to a Bose gas. If we define the operator that creates an electron in the state k" and one in the state k# by y

y

y

b k ¼ ck" ck# then we can show that y

½bk ; b k 0  ¼ kk 0 ð1  nk"  nk# Þ: Note that it is the commutator, and not the anticommutator, that vanishes when k 6¼ k 0 . When k ¼ k 0 , the commutator is not the same as when the b are boson operators, and so in the case of superconductivity it is necessary to

3.3 Quantum statistics at finite temperatures

85

use these special commutation relations for electron pairs. An even better example in which it is suitable to approximate the operators for composite particles by boson operators is the case of liquid 4 He. The isotope of helium of atomic mass 4 is composed of an even number of fermions, has no net spin or magnetic moment, and – what is most important – is very tightly bound, so that the wavefunctions are well localized. This means that operators for atoms at different locations will commute. If it is valid to treat helium atoms as noninteracting bosons, then we should expect that at zero temperature all the atoms are in the state k ¼ 0, and we should have j
i ¼ jN; 0; 0; . . .i: At finite temperatures we should expect to use Eq. (3.3.1) to predict the various properties of the system. There is, however, a difficulty involved in this in that we must choose a zero of energy for the single-particle states. That is, the Hamiltonian, H¼

X

E k nk þ Hinteractions ;

k

could equally well be written as H^ ¼

X

ðE k  Þnk þ Hinteractions ¼ H  N;

k

as we have no obvious way of deciding the absolute energy of a single-particle state. This was not a problem when N was not conserved, for then we knew exactly the energy E k required to create a phonon or a magnon, and we could take  as being zero. The approach we take, which corresponds to the concept of the grand canonical ensemble in statistical mechanics, is to choose  in such a way that Eq. (3.3.1) predicts the correct result, N1 , for the average value of the operator N when the trace includes a summation over all possible N. That is, we choose  such that Tr NeðHNÞ Tr eðHNÞ 1 @ ¼ ln Tr eðHNÞ :  @

N1 ¼

The energy  is known as the chemical potential.

86

Boson systems

We are now in a position to calculate explicitly various temperaturedependent properties of a system of independent bosons or fermions. For np , the average number of bosons in the pth single-particle state, for example, we find np ¼

Tr ayp ap eðHNÞ Tr eðHNÞ

Tr ap eðHNÞ ayp ¼ : Tr eðHNÞ We are allowed to permute cyclically the product of which we are taking the trace because the exponential makes the sum converge. Now eðHNÞ ayp ¼ ayp eðHNÞ eðE p Þ ; since ayp increases N by one, and alters the eigenvalues of H by an amount E p . Thus np ¼ ¼

Tr ap ayp eðHNÞ eðE p Þ Tr eðHNÞ Tr ð1 þ ayp ap ÞeðHNÞ eðE p Þ Tr eðHNÞ

¼ eðE p Þ ð1 þ np Þ; from which np ¼

1 e

ðE p Þ

1

:

ð3:3:2Þ

For fermions the anticommutator leads to a positive sign, giving npðfermionsÞ ¼

1 e

ðE p þÞ

þ1

:

ð3:3:3Þ

These functions np give the average value taken by the operator np . The form of the boson distribution function, (3.3.2), has an interesting consequence for a system of independent particles in which the total number N is conserved, as in the case of 4 He. We have N¼

X p

np ¼

X p

1 ðE p Þ

e

1

:

3.3 Quantum statistics at finite temperatures

87

We know that   0, because if it were not then some np would be negative, which would be nonsense. Thus N

X p

1 : e 1 E p

ð3:3:4Þ

Because we know (from Section 2.1) that the density of states in wavenumber space is =8 3 we can change the sum to an integral and write  N  n0 þ 3 8

ð1 0þ

4 k2 dk : exp ð02 k2 =2mÞ  1

We consider nk for k ¼ 0 separately, since this term is not defined in (3.3.4). The integral is well behaved, and gives a number which we shall call N0 ðTÞ. As T tends to zero, N0 ðTÞ, which represents an upper bound to the number of particles in excited states, becomes indefinitely small, as illustrated in Fig. 3.3.1. When N0 ðTÞ < N it follows from the inequality that all the rest of the particles must be in the state for which k ¼ 0. Thus there is a temperature Tc , defined by N0 ðTc Þ ¼ N, below which the zero-energy state is occupied by a macroscopic number of particles. This phenomenon is known as the Bose–Einstein condensation, and is remarkable in being a phase transition that occurs in the absence of interparticle forces. We might expect the introduction of forces between particles to destroy the transition to a condensed phase, but this is not the case. Bose–Einstein

Figure 3.3.1. This curve represents the greatest possible number of particles that can be in excited states. When it falls below N, the actual number of particles present, we know that a macroscopic number of particles, n0 ðTÞ, must be in the state for which k ¼ 0.

88

Boson systems

condensation is observed in a wide variety of systems, including not only 4 He but also spin-polarized atomic hydrogen and gases of alkali atoms like 23 Na, which consist of an even number of fermions. We must now develop the formalism with which to attack this problem.

3.4 Bogoliubov’s theory of helium As early as 1946 Bogoliubov developed a theory of a system of interacting bosons of the number-conserving kind by making use of the fact that n0 may be very large. He was able in this way to provide an insight into how a weak interaction may totally change the nature of the excitation spectrum of a system and also increased our understanding of the phenomenon of superfluidity. We treat liquid 4 He as a system of interacting bosons. The Hamiltonian will look just like that for the spinless electron gas, except that we shall have to replace every c and cy by an a or an ay , and, of course, the form of the interaction will be different. We have H¼

X k

E k ayk ak þ

1 X V ay ay 0 a 0 a : 2 k;k 0 ;q q kq k þq k k

The single-particle energies E k will be just Ek ¼

02 k2 ; 2M

with M being the mass of the helium atom, and Vq the Fourier transform of a short-range potential. We can immediately arrive at an expression for the energy of this system at zero temperature by employing the same procedure that we used in deriving the Hartree–Fock approximation for the electron gas. That is, we write E H ¼ h
jHj
i; where
is the wavefunction in the absence of interactions. Because all N particles are in the state having k ¼ 0 we simply find y y

E H ¼ NE 0 þ 12 V0 h
ja 0 a0 a0 a0 j
i ¼ NE 0 þ 12 NðN  1ÞV0 :

3.4 Bogoliubov’s theory of helium

89

We recall from the definition (2.3.14) that V0 is inversely proportional to the volume . If we restore this factor by writing V0 ¼ V00 = and approximate N  1 by N we find E H ’ NE 0 þ

N 2 V00 : 2

Note that there are no exchange terms present in this approximation, as only one state is occupied. We can now predict from the dependence of the energy on the volume that this system will support longitudinal sound waves of small wavenumber. For a classical fluid the velocity of sound is given by sffiffiffi R v¼ ; where R is the bulk modulus, ð@P=@ÞN , and is the mass density. If we interpret the pressure P as ð@E H =@ÞN we find that

sffiffiffiffiffiffiffiffiffiffiffiffi

v¼



@2 E H rffiffiffiffiffiffiffiffiffiffiffi 0 @2 ¼ NV0 : M

Thus for a system of unit volume we expect there to be boson excitations for small k having energies 0!k such that !2k ¼

NV0 k2 : M

Bogoliubov’s method shows how these excitations arise as a modification of the single-particle excitation spectrum. In looking for the ground-state solution of this problem we invoke the fact that in the noninteracting system all the particles are in the state for which k ¼ 0. We make the assumption that even in the interacting system there is still a macroscopic number of particles in the zero-momentum state. The numy ber still in the zero-momentum state is the expectation value of a 0 a0 , which we write as N0 . Because we expect N0 to be large we treat it as a number y y rather than an operator, and similarly take a 0 a0 to be equal to N0 . In fact, the y y operator a0 a0 operating with N0 particles in the k ¼ 0 pffiffiffiffiffiffiffiffiffiffiffiffiffiffion ffiffiffiffiffiffiffiffiaffiffiffiffiwavefunction ffiffiffiffiffiffi state would give ðN0 þ 1ÞðN0 þ 2Þ times the state with N0 þ 2 particles, but

90

Boson systems

since 2  N0 , we ignore this difference. We next rewrite the Hamiltonian dropping all terms that are of order less than N0 . Provided Vq is equal to Vq this leaves us H’

X

E k ayk ak þ 12 N02 V0 þ N0 V0

k

þ 12 N0

X

X

ayk ak þ N0

k

X k

y

Vk 0 a k 0 ak 0

0

Vq ðaq aq þ ayq ayq Þ;

q

where the sums exclude the zero term. We then put N0 þ

X

ayk ak ¼ N;

N0 Vk ¼ k ;

E k þ k ¼ 0k ;

k

and make the assumption that N  N0  N0 (an assumption that is of dubious validity for real liquid helium). We then only make errors in terms of order (N  N0 Þ=N0 if we write H ¼ 12 N 2 V0 þ

X k

0k ayk ak þ 12

X

k ðak ak þ ayk ayk Þ:

ð3:4:1Þ

k

While the first term is a constant, and the second is an old friend, the third term is an awkward one. In perturbation theory it leads to divergences, the pictorial representations of which are aptly known as ‘‘dangerous diagrams.’’ The major advance we have made, however, is to reduce our original Hamiltonian, which contained interactions represented by a product of four operators, to a quadratic form, in which only products of two operators are present. It is then in principle always possible to diagonalize the Hamiltonian. The trick that Bogoliubov used to get rid of the off-diagonal terms ak ak and ayk ayk was to define a new set of operators. He wrote k ¼ ðcosh k Þak  ðsinh k Þayk ; where the k are left arbitrary for the time being. One can show that the  obey the same commutation relations as the a, ½k ; yk 0  ¼ kk 0 :

3.4 Bogoliubov’s theory of helium

91

Now suppose we had a Hamiltonian X H¼ 0!k yk k : k

P This would pose no difficulties; the energies would just be k nk 0!k . Our approach now is to write out yk k in terms of the a’s and see if we can choose !k and k in such a way as to make it equal to the kth component of our approximate Hamiltonian, (3.4.1). Substituting, we have yk k ¼ ½ðcosh k Þyk  ðsinh k Þak ½ðcosh k Þak  ðsinh k Þayk  ¼ ðcosh2 k Þayk ak þ ðsinh2 k Þak ayk  ðcosh k sinh k Þ  ðayk ayk þ ak ak Þ: Then, if !k ¼ !k and k ¼ k ; X X X 0!k yk k ¼ 0!k ðcosh 2k Þayk ak þ 0!k sinh2 k k

k

 12

X

k

0!k ðsinh 2k Þðak ak þ ayk ak Þ:

k

This is identical to (3.4.1) except for a constant if we choose ! and  such that !k cosh 2k ¼ k ;

0!k sinh 2k ¼  k :

Then 02 !2k ¼ 02 2k  2k and 0!k ¼ ½ðE k þ N0 Vk Þ2  ðN0 Vk Þ2 1=2 : Thus Bogoliubov’s transformation from the a’s to the ’s has diagonalized the Hamiltonian. Within the approximation that N0 is large compared with everything else in sight we can say that the excitations of the system above its ground state are equivalent to Bose particles of energy 0!k . The interesting thing about these excitations is the way the energy varies with k for small k. We can write qffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi 0!k ¼ E 2k þ 2E k N0 Vk ;

92

Boson systems

and since for small enough k we shall have that E 2k , which varies as k4 , will be small compared with E k N0 Vk , we shall find rffiffiffiffiffiffiffiffiffi NVk k: !k ’ M That is, the excitations will look more like phonons than like free particles, and will have the dispersion law predicted from the elementary arguments used at the beginning of this section. When k becomes large, so that E k  N0 Vk , then the excitations will once again be like particles. The detailed shape of the graph of ! against k will depend upon the form of Vk . If we choose a form of Vk like Fig. 3.4.1 then we should find that ! behaves as in Fig. 3.4.2, starting off with a finite gradient, but then dipping down again to a minimum at some value of k. This is the form of the dispersion relation for liquid 4 He that is found experimentally, and is in accord with the superfluid properties of this substance at low temperatures. We consider a heavy particle of mass M0 projected into a container of liquid helium at zero temperature, and investigate the mechanism by which the particle is slowed down. Since its energy E M is p2 =2M0 , a heavy particle has a lot of momentum but not much energy, as shown in Fig. 3.4.3. If the particle is slowed down by the helium it will only give up a small amount of energy even though it loses a considerable amount of momentum. Now if the helium is in its ground state, then all the excitations available in Fig. 3.4.2 require a lot of energy for each bit of momentum they provide. The massive particle is not capable of providing this energy, and hence cannot cause an excitation and will experience no viscous force. It is only when

Figure 3.4.1. One possible form that the effective interaction between helium atoms might take.

3.5 Phonons in one dimension

93

Figure 3.4.2. An interaction of the form shown in Fig. 3.4.1 would lead to a dispersion curve with a minimum as shown here.

Figure 3.4.3. For a given momentum p a heavy particle has very little energy.

the particle has such a large momentum, pc , that its velocity is equal to the gradient of the dotted line in Fig. 3.4.2 that excitations will be caused. In fact liquid 4 He at low temperatures is found to have superfluid properties for motions below a certain critical velocity, but the magnitude of this velocity is only about 1 cm s1 , rather than the 104 cm s1 predicted by this theory. The discrepancy is accounted for by low-energy excitations in the form of vortex rings not included in the Bogoliubov theory.

3.5 Phonons in one dimension In the case of the Bogoliubov theory of helium we started with a system containing a fixed number of Bose particles. It was the fact that the total number of particles had to be conserved that obliged the k ¼ 0 state to contain a macroscopic number of particles, and which, in turn, gave the

94

Boson systems

system its remarkable properties. We now turn back to the situation that we encountered with the harmonic oscillator, where we start with a Hamiltonian and transform it in such a way that the excitations appear as the creation of an integral number of bosons. We return to a linear chain of interacting atoms as the first such system to consider. Once again we let the displacements of the atoms from their equilibrium positions, l, be yl , and abbreviate the notation yl1 ; yl2 ; . . . by writing y1 ; y2 ; . . . . Then the Hamiltonian will be H¼

X p2l þ Vðy1 ; y2 ; . . .Þ: 2m l

We expand V in a Maclaurin series to get

 @ yl Vðy1 ; y2 ; ; . . .Þ Vðy1 ; y2 ; . . .Þ ¼ Vð0; 0; . . .Þ þ @yl y1 ¼y2 ¼¼0 l 

1 X @2 þ yl yl 0 Vðy1 ; y2 ; ; . . .Þ 2! l;l 0 @yl @yl 0 y1 ¼y2 ¼¼0 X



1 X @3 þ y y 0 y 00 Vðy1 ; y2 ; ; . . .Þ 3! l;l 0 ;l 00 l l l @yl @yl 0 @yl 00 y1 ¼y2 ¼0 þ higher terms:

ð3:5:1Þ

The first term on the right-hand side may be eliminated by suitable choice of the zero of energy, and all the terms in the summation forming the second term must be zero by virtue of the definition of y ¼ 0 as the equilibrium positions of the atoms. Thus the first set of terms we need to consider are the set X

yl yl 0

l;l 0

@2 V : @yl @yl 0

We could write this double summation in matrix notation. If we abbreviate @2 V=@yl @yl 0 by Vll 0 then we can represent the double sum as 0

V11

BV ðy1 ; y2 ; . . .ÞB @ 21 .. .

V12



10

y1

1

CB C CB y 2 C: A@ A .. .

3.5 Phonons in one dimension

95

Now we can always diagonalize a finite matrix like Vll 0 . That is, we can find some matrix T such that TVT 1 is diagonal. If T has elements Tql this means TVT 1 ¼

X

Tql Vll 0 ðT 1 Þl 0 q 0 ¼ Vq qq 0 ;

ð3:5:2Þ

l;l 0

where the Vq are a set of numbers defined by T and V. Then X

yl Vll 0 yl 0 ¼

X

yl ðT 1 Þlq Tql 00 Vl 00 l 000 ðT 1 Þl 000 q 0 Tq 0 l 0 yl 0

l;l 0 ;l 00 l 000 0

l;l 0

q;q

¼

X

yl ðT 1 Þlq Vq qq 0 Tq 0 l 0 yl 0

ð3:5:3Þ

l;l 0 q;q 0

¼

X

yq y~q Vq ;

q

where yq ¼

X

yl ðT 1 Þlq

l

and y~q ¼

X

Tql yl :

l y

Because yl is a physical observable it must be its own conjugate, and yl ¼ y l . If we can choose T such that (T 1 Þlq ¼ T *ql we should have that y~q ¼ yyq , and P we could write the potential energy as 12 q yq yyq Vq . What we have done here is really no more complicated than the elementary approach of Section 1.2 – we have changed from the particle coordinates yl to the collective coordinates yq . We can similarly define collective momenta, pq , using the inverse transformation: pq ¼

X

Tql pl :

l

This follows from the fact that pl ¼ i0

X @yq @ X 1 @ @ ¼ i0 ¼ i0 ðT Þlq : @yl @yq @yl @yq q q

96

Boson systems

Thus on multiplication by T we have i0

X @ ¼ Tql pl : @yq l

The kinetic energy remains diagonal in the new coordinates, since 1 X 2 1 X pl ¼ p ðT 1 Þlq pyq 0 ðT 1 Þ*lq 0 2M l 2M l;q;q 0 q ¼

1 X p T * ðT 1 Þ*lq 0 pyq 0 2M l;q;q 0 q ql

¼

1 X p py : 2M q q q

Thus if we ignore all terms in the Hamiltonian that are of order y3 or higher (this is known as the harmonic approximation) we can write  X 1 1 y 2 y p p þ M!q yq yq ; H¼ 2M q q 2 q where M!2q ¼ Vq . Because pq ¼ i0@=@yq the commutation relations for the collective coordinates are similar to those for particles, and we have ½yq ; pq 0  ¼ i0qq 0 : We then see that by defining operators sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi 1 aq ¼ ðM!q yq þ ipyq Þ 2M0!q

ð3:5:4Þ

sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi 1 ayq ¼ ðM!q yyq  ipq Þ; 2M0!q

ð3:5:5Þ

which are a simple generalization of (3.2.1), we can write H¼

X q

  0!q ayq aq þ 12 :

ð3:5:6Þ

97

3.5 Phonons in one dimension

Thus to know all about the excitation spectrum of the linear chain we simply need to know the transformation matrix Tql . The matrix we need is, of course, the one that will make the yq the collective coordinates for phonons. We thus need to have Tql proportional to eiql and so we write yq ¼ N 1=2

X

eiql yl ;

pq ¼ N 1=2

X

l

eiql pl ;

ð3:5:7Þ

l

where N is the total number of atoms in the chain. In order to avoid difficulties with the ends of the chain we adopt the device of introducing periodic boundary conditions, as was done in Section 2.1 for the electron wavefunctions. That is, we specify that ylþNa  yl ; with a once again the distance between atoms, so that the ends of the chain are effectively joined. This restricts the possible values of q, since from expression (3.5.7) we must have eiql ¼ eiqðlþNaÞ if the yq are to be uniquely defined. We then have q¼

2 n ; Na

where n is an integer. It then follows that yq  yqþg ;

pq  pqþg

where g ¼ 2 =a, which shows that there are only N distinct collective coordinates. The inverse transformations are found to be yl ¼ N 1=2

X q

eiql yq ;

pl ¼ N 1=2

X

eiql pq ;

ð3:5:8Þ

q

where the summations proceed over all N distinct values of q. We note that yyq ¼ yq and pyq ¼ pq , so that since !q ¼ !q we can, by making use of

98

Boson systems

expressions (3.5.4) and (3.5.5), write sffiffiffiffiffiffiffiffiffiffiffiffi 0 ðayq þ aq Þ yq ¼ 2M!q

ð3:5:9Þ

rffiffiffiffiffiffiffiffiffiffiffiffi M0!q y pq ¼ i ða q  aq Þ: 2

ð3:5:10Þ

These relations allow us to write any operator in terms of phonon annihilation and creation operators. The frequencies !q that appear in the Hamiltonian (3.5.6) are given by rffiffiffiffiffi Vq !q ¼ M and Vq ¼

X

Tql Vll 0 ðT 1 Þl 0 q

l;l 0

¼ N 1

X

0

eiql Vll 0 eiql :

l;l 0

As Vll 0 is, by the translational invariance of the system, a function only of (l  l 0 ), we have X iqL Vq ¼ e VL ; L

where we have written L for l  l 0 . This result for the frequencies is identical to that which we obtained by classical methods in Section 1.2. For the particular case where there were interactions only between nearest neighbors we had X X 2 1 Kðy  y Þ ¼ Kðy2l  yl ylþa Þ; V¼ l lþa 2 l

l

so that Vll 0 ¼ 2K

if

l ¼ l0

¼ K

if

l ¼ l0  a

¼ 0 otherwise:

3.6 Phonons in three dimensions

99

Then Vq ¼ 2K  Kðeiqa þ eiqa Þ ¼ 4K sin2 and

qa ; 2

rffiffiffiffiffi K qa sin !p ¼ 2 M 2

as before.

3.6 Phonons in three dimensions The theory of phonons in three-dimensional crystals is not very much more difficult in principle than the one-dimensional theory. The basic results that we found merely become decorated with a wealth of subscripts and superscripts. We first consider the simplest type of crystal, known as a Bravais lattice, in which the vector distance l between any two atoms can always be written in the form l ¼ n1 l1 þ n2 l2 þ n3 l3 : Here the n are integers and the li are the basis vectors of the lattice. It is convenient to define a set of vectors g such that eig
l ¼ 1 for all l. These form the reciprocal lattice. We can calculate the useful property that sums of the form P iq
l vanish unless q is equal to some g, in which case the sum is equal to N, l e the total number of atoms. Thus we can define a function ðq) by the equation X iq
l X e ¼N qg  N ðqÞ: l

g

The Hamiltonian of a lattice of atoms interacting via simple potentials can be written in analogy with Eq. (3.5.1) as H¼

X 1 ðpil Þ2 2M l;i þ

1 X i j ij 1 yl yl 0 Vll 0 þ 2! l;l 0 ;i; j 3!

X l;l 0 ;l 00 ;i; j;k

yil ylj0 ykl 00 Vllijk0 l 00 þ    ;

ð3:6:1Þ

where pil and yil represent the ith Cartesian component of the momentum and displacement, respectively, of the atom whose equilibrium position is l. The tensor quantities Vllij0 , Vllijk0 l 00 , etc., are the derivatives of the potential energy

100

Boson systems

with respect to the displacements as before. In the harmonic approximation only the first two terms are retained. The Hamiltonian can then be written in matrix notation as 0 x1 0 xx 10 x 1 Vll 0 Vllxy0 Vllxz0 yl 0 pl X X 1 yy yz CB y C x y z B yC 1 x y z B yx ðp ; p ; p Þ@ pl A þ ðy ; y ; y Þ@ Vll 0 Vll 0 Vll 0 A@ yl 0 A: H¼ 2M l l l 2 l;l 0 l l l z l Vllzx0 Vllzy0 Vllzz0 pl yzl 0 ð3:6:2Þ Collective coordinates may be defined as in the one-dimensional problem. We put yiq ¼ N 1=2

X l

eiq
l yil ;

piq ¼ N 1=2

X l

eiq
l pil :

From these definitions one can see that yqþg  yq ;

pqþg  pq ;

for any reciprocal lattice vector g, and so we only need to consider N nonequivalent values of q. It is usually most convenient to consider those for which jqj is smallest, in which case we say that we take q as being in the first Brillouin zone. (We note also that since there are only 3N degrees of freedom in the problem it would be an embarrassment to have defined more than N coordinates yq .) With this restriction on q the inverse transformations are yil ¼ N 1=2

X

eiq
l yiq ;

pil ¼ N 1=2

q

X

eiq
l piq ;

q

and may be substituted into (3.6.2) to give 8 0 x1 pq > > X< 1 B C yy zy B y C ðpxy H¼ q ; pq ; pq Þ@ pq A >2M q > : pzq 0 xx 10 x 19 Vq Vqxy Vqxz yq > > = C B 1 xy yy zy B yx yy yz CB y C B C Vq Vq A@ yq A ; þ ðyq ; yq ; yq Þ@ Vq > 2 > ; Vqzx Vqzy Vqzz yzq

3.6 Phonons in three dimensions

101

where Vqij ¼

X l0

0

eiq
ðll Þ Vllij0 :

The Hamiltonian has thus been separated into a sum of N independent terms governing the motions having different wavenumbers q. To complete the solution we now just have to diagonalize the matrix Vqij . This can be achieved merely by rotating the coordinate system. The matrix Vqij will have three mutually perpendicular eigenvectors which we can write as the unit vectors s1 , s2 , and s3 , with eigenvalues Vq1 , Vq2 , and Vq3 . Then in the coordinate system defined by the s X  1 sy s 1 s sy s  H¼ ð3:6:3Þ p p þ V y y : 2M q q 2 q q q q;s The three directions s that describe the eigenvectors of Vqij are the directions of polarization of the phonons, and are functions of q. If it happens that one of the s is parallel to q we say that there can be longitudinally polarized phonons in the crystal. Since the s are mutually perpendicular it follows that there can also be transversely polarized phonons of the same wavenumber; for these s
q ¼ 0. It is usually only when q is directed along some symmetry direction of the lattice that this will occur. However, if q and s are approximately parallel it is still useful to retain the terminology of longitudinal and transverse polarizations. The frequencies of the phonons described by expression (3.6.3) are given by rffiffiffiffiffiffiffi Vqs : !qs ¼ M We can write the Hamiltonian in the concise language of second quantization by defining annihilation and creation operators 1 aqs ¼ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ðM!qs yq þ ipyq Þ
sq 2M0!qs ayqs

1 ¼ pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi ðM!qs yyq  ipq Þ
sq : 2M0!qs

Then H¼

X q;s

0!qs ðayqs aqs þ 12Þ:

ð3:6:4Þ

102

Boson systems

3.7 Acoustic and optical modes In solving the dynamics of the Bravais lattice we diagonalized the Hamiltonian in two stages. First we transformed from the yl to the yq and thereby reduced the double summation over l and l 0 to a single summation over q. We then rotated the coordinate system for each q so as to eliminate terms off the diagonal of the matrix Vqij . This completed the separation of the Hamiltonian into terms governing the motion in the 3N independent modes of vibration. Not all lattices, however, are of the simple Bravais type, and this leads to a further stage that must be included in the task of diagonalization of the Hamiltonian. In a lattice with a basis the vectors l no longer define the equilibrium positions of atoms, but rather the positions of identical groups of atoms. The equilibrium position of an atom is then given by the vector l þ b, where l is a vector of the Bravais lattice, and b is a vector describing the position of the atom within the group (Fig. 3.7.1). There may be several different types of atom within the group, each having a different mass Mb . The harmonic Hamiltonian then takes on the rather complicated form H¼

X l;b;i

X 1 i j 1 ylb yl 0 b 0 Vlbij l 0 b 0 : ðpil;b Þ2 þ 2Mb 2 l;b;l 0 ;b 0 ;i; j

One can look upon a lattice with a basis as a set of interlocked Bravais lattices, and this suggests that we define collective coordinates for each

Figure 3.7.1. In a lattice with a basis the vectors l now define the position of some reference point of a group of atoms, while the vectors b define the positions of individual atoms of this group relative to the reference point.

3.7 Acoustic and optical modes

103

sublattice separately. We write for each of the nb possible values of b yqb ¼ N 1=2

X l

ylb eiq
l

and ij Vqbb 0 ¼

X l0

0

ij eiq
ðll Þ Vlbl 0 0; b

which reduces the Hamiltonian to H¼

X q;b;i

X 1 i ij 1 i y V 0 y jy 0 : piy p þ 2Mb qb qb qbb 0 ij 2 qb qbb qb

It is not enough now just to rotate the coordinate system to complete the diagonalization of H; we also need to form some linear combination of the yiqb that will remove terms of the form Vqbb 0 when b 6¼ b 0 . We then find that for each q there are 3nb distinct modes of vibration. The polarization directions of these modes are in general ill-defined since the nb atoms that form the basis group may be moving in quite different directions. It is only the collective coordinate formed by the linear combination of the yiqb that has a specific direction in which it vibrates. The 3nb different modes that one finds in this way form the various branches of the phonon spectrum of the crystal. The lowest frequencies of vibration will be found in the three modes in which all the atoms within the basis move more or less in phase. For vanishingly small values of q these can be identified as the three modes of ordinary sound, for which ! is proportional to jqj. For this reason these three are said to form the acoustic branch of the phonon spectrum. In the other modes the atoms within the basis move to some extent out of phase, and ! tends to a nonzero value as jqj tends to zero. (There is some parallel here with plasma oscillations, in which the ions and electrons also move out of phase.) Because the frequencies of these phonons may be high enough to be excited by infrared radiation, they are said to lie in the optical branch of the phonon spectrum (Fig. 3.7.2). An understanding of the way in which the phonon spectrum splits into acoustic and optical branches is helped by considering the problem of the linear chain when alternate atoms have different masses. This is solved classically in many texts on solid state physics. An instructive variation of this system, to be solved quantum mechanically, is given in Problem 3.4.

104

Boson systems

Figure 3.7.2. There are two atoms in the basis of the diamond lattice, and so this structure has a phonon dispersion curve with acoustic and optical branches.

3.8 Densities of states and the Debye model We have found that in the harmonic approximation the lattice may be considered as a gas of independent phonons of energies 0!q , where now the subscript q is intended to specify the wavenumber and polarization of a phonon as well as the branch of the spectrum in which it lies in the case of a lattice with a basis. It is useful to define a function Dð!Þ to be the density of phonon states – that is, the number of states per unit frequency range near a given frequency. We write Dð!Þ ¼

X

ð!  !q Þ;

ð3:8:1Þ

q

Ð! from which it is seen that !12 Dð!Þ d! is the number of phonon states with frequencies between !1 and !2 . This function is important in the interpretation of many experiments. There are, for instance, many processes that could occur in crystals but are forbidden because they do not conserve energy. Some of these nevertheless take place if it is possible to correct the energy imbalance by absorbing or emitting a phonon in the process. The probability of these phonon-assisted processes occurring will be proportional to Dð!Þ among other things. As another example we might consider the specific heat of the phonon gas, which we could calculate by finding the variation with temperature of the

3.8 Densities of states and the Debye model

105

average expectation value of the Hamiltonian. According to Section 3.3 we should have H

Tr

X

0!q ðnq þ 12ÞeH

Tr He q E ¼ ¼ H Tr e Tr eH X 0!q Trðnq þ 12ÞeH X q ¼ ¼ 0!q ðnq þ 12Þ; Tr eH q where nq ¼

1 : exp ð0!q =kTÞ  1

Note that , the chemical potential, is zero in this case because the number of phonons is not conserved. Then   2 d E 1 X ð0!q Þ exp ð0!q =kTÞ ¼ Cv ¼ dT kT 2 q ½exp ð0!q =kTÞ  12 ð 1 1 ð0!Þ2 exp ð0!=kTÞ Dð!Þ d!: ¼ kT 2 0 ½exp ð0!=kTÞ  12

ð3:8:2Þ

Thus the function Dð!Þ is all that we require to calculate the specific heat of a harmonic crystal. Unfortunately, it is a tedious job to calculate Dð!Þ for even the simplest crystal structure and set of force constants. One would like, however, to have some model for Dð!Þ in order to interpret experiments. A popular and convenient model is the one first proposed by Debye in 1912, in which Dð!Þ is proportional to !2 below a certain cutoff frequency, !D , above which it is zero (Fig. 3.8.1). The foundation for this model comes from consideration of the form of !q when q1 is much greater than the lattice spacing. Then ! is proportional to jqj in the acoustic branch of the spectrum, so that the density of states in frequency is proportional to the density of states as a function of jqj. By arguments similar to those we used in considering electron states (Section 2.1), one can show that the density of states is uniform in q-space. Thus one knows that the exact Dð!Þ certainly varies as !2 in the limit of small !. The Debye model is an extrapolation of this behavior to all ! up to !D .

106

Boson systems

Figure 3.8.1. In the Debye model the phonon density of states Dð!Þ, which may be a very intricate shape, is approximated by part of a parabola.

It is convenient to express the cutoff parameter in temperature units rather than frequency units. This is achieved by defining 0!D ¼ k ; where is known as the Debye temperature. The cutoff frequency is expected to correspond to a wavelength of the order of the lattice spacing, a, and so one has the useful approximate relation for the Debye model 0!q qa

: ’ T kT The constant of proportionality of Dð!Þ to !2 is fixed by stipulating that the total number of modes must be equal to 3N, where N is the number of atoms in the crystal. Thus if Dð!Þ ¼ A!2 one has ð !D A

!2 d! ¼ 3N;

0

so that 

0 Dð!Þ ¼ 9N k

3

!2

ð!  !D Þ:

ð3:8:3Þ

3.9 Phonon interactions

107

Substitution of Eq. (3.8.3) into the specific heat formula (3.8.2) gives the well known Debye result  3 ð =t T x4 ex dx; Cv ¼ 9Nk

ðex  1Þ2 0 from which Cv is found to vary as T 3 at very low temperatures. In some physical problems in which the phonon spectrum only enters in a minor way, it is occasionally desirable to have an even simpler approximation for Dð!Þ. In these cases one may use the Einstein model, in which it is assumed that a displaced atom experiences a restoring force caused equally by every other atom in the crystal, rather than by the near neighbors alone. Then all vibrations have the same frequency, and Dð!Þ ¼ 3N ð!  !E Þ:

ð3:8:4Þ

Because this model neglects all the vibrational modes of low frequency, its use is appropriate only for describing the optical modes of vibration.

3.9 Phonon interactions While the picture of a lattice as a gas of independent phonons may be an excellent approximation with which to calculate the specific heat, there are many physical properties that it completely fails to explain. We know, for instance, that sound waves are attenuated in passing through a crystal, which shows that phonons have a finite lifetime. We also know that if we heat a substance then its elastic constants will change, or it may even undergo a martensitic transformation and change its crystal structure. The fact that the elastic constants change implies that the frequencies of the long-wavelength phonons also change. This means that !q must be a function not only of q, but also of all the occupation numbers of the other phonon states. To explain these phenomena we must return to the lattice Hamiltonian (3.6.1), and rescue the higher-order terms that we previously neglected. The term of third order in the displacements was H3 ¼

1 3!

X 0

00

l;l ;l ;i; j;k

yil ylj0 ykl 00 Vllijk0 l 00 ;

108

Boson systems

where for simplicity we consider a Bravais lattice, so that there is no summation over b. We can substitute for the yil with the yiq and write X

eiq

0


ðl 0 lÞ iq 00
ðl 00 lÞ

e

l 0 ;l 00

Vllijk0 l 00 ¼ Vqijk0 q 00

to obtain H3 ¼ ¼

X

1 3!N 3=2

0

eiðqþq þq

00

Þ
l i j k yq yq 0 yq 00 Vqijk0 q 00

l;q;q 0 ;q 00 ;i; j;k

X i i k ijk 1 y y 0 y 00 V 0 00 ðq þ q 0 þ q 00 Þ: 1=2 3!N q;q 0 q 00 q q q q q i; j;k

From (3.6.4) yiq

¼

X s

sffiffiffiffiffiffiffiffiffiffiffiffiffiffi 0 ðay þ aqs Þsi ; 2M!qs qs

where si is the ith Cartesian component of the unit polarization vector s, and so 1 H3 ¼ 3!N 1=2



0 2M

3=2

X 0

ð!qs !q 0 s 0 !q 00 s 00 Þ1=2 si s 0j s 00k

00

q;q ;q ;i; j;k s;s 0 ;s 00

 Vqijk0 q 00 ðq þ q 0 þ q 00 Þðayqs þ aqs Þðayq 0 s 0 þ aq 0 s 0 Þðayq 00 s 00 þ aq 00 s 00 Þ: ð3:9:1Þ The third-order term in the Hamiltonian thus appears as a sum of products of three annihilation or creation operators, and can be interpreted as representing interactions between phonons. As in the case of electron–electron interactions we can draw diagrams to represent the various components of (3.9.1), although the form of these will be different in that the number of phonons is not conserved. In the case of electron interactions the diagrams always depicted the mutual scattering of two electrons, as there were always an equal number of annihilation and creation operators in each term in the Hamiltonian. The interactions represented by expression (3.9.1), however, are of the four types shown in Fig. 3.9.1. Some terms will be products of three creation operators, and will be represented by Fig. 3.9.1(a). It is, of course, impossible to conserve energy in processes such as these, and so

3.9 Phonon interactions

109

Figure 3.9.1. The anharmonic term in the Hamiltonian that is of third order in the atomic displacements gives rise to processes involving three phonons. These are the four possible types of three-phonon interactions.

the three phonons created in this way would have to be very short-lived. They might be quickly annihilated by a process such as that shown in Fig. 3.9.1(d), which represents a product of three annihilation operators. The processes of Figs. 3.9.1(b) and 3.9.1(c) are more like scattering events, except that one of the phonons is created or destroyed in the process. Such interactions may conserve energy if the wavenumbers and polarizations are appropriate, and would then represent real transitions. The fact that the term ðq þ q 0 þ q 00 Þ appears in the expression for H3 implies a condition that is equivalent to the conservation of momentum in particle interactions. Because this function vanishes unless the vector q þ q 0 þ q 00 is zero or a reciprocal lattice vector, g, the total wavenumber must be conserved, modulo g. Thus in Fig. 3.9.1(a) the sum of the wavenumbers of the three created phonons must either vanish, in which case we call the interaction a normal process, or N-process, or else the total wavenumber is equal to a nonzero reciprocal lattice vector, in which case we call the interaction an Umklapp process, or U-process. The distinction between N-processes and U-processes is to some extent artificial, in that whether a scattering is designated as N or U depends on the definition of the range of allowed values of q. It remains a useful concept, however, in discussing phonon interactions by virtue of the fact that there is a well defined distinction between N- and U-processes within the framework of the Debye model. This is of importance in the theory of thermal conductivity as a consequence of a theorem first proved by Peierls. He pointed out that the heat current density is calculated from the group velocity @!=@q of the phonons as 1

J¼

X q;s

  @!qs 0!qs nqs : @q

In the Debye model !qs ¼ vjqj, where the velocity of sound, v, is independent

110

Boson systems

of q or s, so that J ¼
1

X

0v2 qnqs :

q;s

This quantity is conserved when H3 contains only terms describing Nprocesses, and so the energy current should remain constant in time. This indicates that thermal resistivity – the ability of a solid to support a steady temperature gradient – must be due to U-processes or impurities in this model. Now that we have expressed the third-order anharmonic part, H3 , of the Hamiltonian in terms of the aq and ayq , it is straightforward in principle to use perturbation theory to find the change in energy of the system caused by phonon interactions. If the unperturbed lattice is in the eigenstate jfni gi, then first-order perturbation theory gives an energy shift of hfni gjH3 jfni gi; which clearly vanishes because of the fact that each term in H3 is a product of an odd number of annihilation or creation operators. Just as in the anharmonic oscillator of Section 3.2, the perturbation cannot recreate the same state jfni gi that it operates upon. We must then go to second order in perturbation theory, allowing the possibility of H3 causing transitions into virtual intermediate states jfnj gi. The qualitative result of including phonon interactions in the Hamiltonian is to give the energy a set of terms that will not be linear in the occupation numbers, nq . As in the case of the interacting electron system, it is meaningless to talk about the energy of one particular phonon in an interacting system. But we can ask how the energy of the whole system changes when we remove one phonon from the unperturbed state, and to evaluate this we need to form @E=@nqs . The result we find will contain a term 0!qs arising from the differentiation of the unperturbed energy, and also a set of terms arising from differentiation of products like nqs nq 0 s 0 . The energy required to introduce an extra phonon into the qth mode is thus a function of the occupation numbers of the other modes. For a crystal in equilibrium these occupation numbers are functions of the temperature, as dictated by the Bose–Einstein distribution formula for their average value nqs . In particular the energy required to introduce phonons of long wavelength, as in a measurement of the elastic constants of the material, will depend on the temperature. The inclusion of phonon interactions is thus necessary for the calculation of all properties at temperatures near the Debye temperature, and in particular for the thermal expansion and thermal conductivity.

3.10 Magnetic moments and spin

111

3.10 Magnetic moments and spin The classical idea of a magnetic substance is that of an assembly of atoms containing circulating electrons. By using the laws of electromagnetism one may show that the average magnetic field h due to a single circulating electron of mass m and charge e is of the form associated with a magnetic dipole, i.e., h¼

3ðk
rÞr  r2 k r5

at large distances r from the atom. Here the magnetic dipole moment, k, is given by k¼

e r  v; 2c

ð3:10:1Þ

averaged over a period of the particle’s orbital motion. The magnetization M of a macroscopic sample of unit volume is then given by X M¼ ki ; i

where the sum proceeds over all contributing electrons. While the definition (3.10.1) is quite adequate for the calculation of magnetic moments of classical systems, it is not sufficiently general to be useful in the framework of quantum mechanics. We can, however, derive an expression for k in terms of the Hamiltonian of the electron which may then be interpreted as defining the magnetic moment operator of a quantum-mechanical system. To achieve this we consider the motion of the electron from the point of view of formal classical mechanics. In the presence of an externally applied magnetic field H an electron experiences the Lorentz force, F¼

e v  H; c

so that in a potential Vðr) the equation of motion is e m_v ¼ rV þ v  H: c

ð3:10:2Þ

(Note that we are considering effects on a microscopic scale here, and do not make any distinction between the magnetic induction B and the magnetic field H. If the atom we are considering is located within a sample of magnetic material we should say that H is the sum of an applied field H0 and the dipole fields hi of the other atoms. It is only when one is considering the average

112

Boson systems

field in a macroscopic body that it is useful to make the distinction between B and H.) Now Lagrange’s equation states that   d @L @L ¼ ; dt @v @r and in order for this to be equivalent to Eq. (3.10.2) it is sufficient to write the Lagrangian L¼

1 e mv2  V þ v
A; 2 c

where A is a vector potential defined by H ¼ r  A. The momentum p is then defined by @L e ¼ mv þ A; @v c

p¼

ð3:10:3Þ

and the classical Hamiltonian is H ¼ v


@L 1  L ¼ mv2 þ V: @v 2

ð3:10:4Þ

If one then differentiates the Hamiltonian with respect to the applied magnetic field, keeping p and r constant, one finds

 1 X 2 m vi þ VðrÞ 2 i X  @vi  ¼m vi @H p;r i   eX @Ai ¼ v : c i i @H r

@H @ ¼ @H @H

For a uniform field, H, it is convenient to write A ¼ 12 H  r; which is consistent with the definition of A. Then @H e X @ðH  rÞi e ¼ vi ¼  r  v: @H 2c i 2c @H

ð3:10:5Þ

3.10 Magnetic moments and spin

113

By comparison with (3.10.1) we then have k¼

@H : @H

ð3:10:6Þ

It is this expression that is taken as a definition of the quantum-mechanical operator that represents the magnetic moment of a system. If in particular a system is in an eigenstate of energy E i then its magnetic moment is @E i =@H. If it is a member of an ensemble of systems at temperature T then by Eq. (3.3.1) its average magnetic moment is Tr½ð@H=@HÞeH  Tr½eH    @F ¼ ; @H 

k ¼ 

ð3:10:7Þ

where the Helmholtz energy, F , is given by F ¼ 1 ln ½TrðeH Þ: To illustrate this we might consider the magnetic moment due to a single spinless electron. In the absence of a magnetic field the Hamiltonian is H0 ¼

1 2 p þ VðrÞ: 2m

As is seen from substituting for v from Eq. (3.10.3) in (3.10.4), the presence of a magnetic field modifies the Hamiltonian to  2 1 e p  A þ VðrÞ; H¼ 2m c which is equivalent to adding to H0 a perturbation e H1 ¼ 2mc



 e 2 A  p
A  A
p : c

Use of the relation (3.10.5) then gives H1 ¼ 

e e2 r p
H þ ðH  rÞ2 : 2mc 8mc2

ð3:10:8Þ

114

Boson systems

We then find that when H is taken in the z-direction z ¼ 

@H e e2 H 2 ¼ ðr  pÞz  ðx þ y2 Þ: @H 2mc 4mc2

ð3:10:9Þ

This shows that in the limit of small applied fields the magnetic moment due to a spinless nonrelativistic electron is proportional to its orbital angular momentum, L ¼ r  p, with a constant of proportionality equal to e=2mc. In solids the form of the potential Vðr) that acts on an electron bound to a particular atom is frequently so lacking in symmetry that the eigenstates have no net orbital angular momentum. That is to say, the states of the electron are formed out of mixtures of equal amounts of the two degenerate wavefunctions corresponding to orbital angular momenta L and L. The only magnetic moment observed is then due to second-order effects such as the second term in expression (3.10.9), which, being intrinsically negative, leads to diamagnetic effects in which the induced moment is in the opposite direction to H. One says that the strong magnetic moment one would expect from the first term in expression (3.10.9) is quenched. Having thus considered and disposed of the orbital angular momentum as an important source of magnetic effects in solids we now restore to the electron its spin, and ask how this property modifies our picture. As spin has been shown to be a consequence of the relativistic nature of the electron we might take as our starting point the Dirac equation, which describes the relativistic motion of an electron or positron by means of a wavefunction having four components. In the nonrelativistic limit the electron and positron parts of this equation may be separated by means of the Foldy–Wouthuysen transformation to give an equation for the two-component wavefunction describing the electron alone. The fact that the electron wavefunction does have two components is consistent with the electron possessing a degree of freedom corresponding to a spin angular momentum s of 12 0 that can point either up or down. The most important terms from our point of view that are contained in this reduction of the Dirac equation are given by the Hamiltonian H¼

 2 1 e 1 e p  A  3 2 p4 þ VðrÞ  s
r  A 2m c 8m c mc 

 1 e 02 þ 2 2 s
rVðrÞ  p  A þ 2 2 r2 V: 2m c c 8m c

ð3:10:10Þ

3.10 Magnetic moments and spin

115

This differs from expression (3.10.8) in having a term in p4 , which is a relativistic correction to the kinetic energy, and in having two terms involving the spin angular momentum s. In this section we consider only the first of the terms containing s. Since r  A ¼ H the presence of this term in the Hamiltonian shows the electron to have a magnetic moment of es=mc due to its spin. The ratio of the magnetic moment of a substance to its angular momentum is a quantity that can be determined by experiment, and is found to be close to a value of e=mc in many ferromagnetic substances. This indicates that it is the spin of the electron rather than its orbital motion, which from (3.10.9) would have led to a value of e=2mc for this ratio, that is principally responsible for magnetic properties in these materials. The operator s, being an angular momentum, has the same commutation properties as the orbital angular momentum L. Because of the definition L¼rp and the relation ½r; p ¼ i0 it follows that ½Lx ; Ly  ¼ i0Lz ;

½Ly ; Lz  ¼ i0Lx ;

½Lz ; Lx  ¼ i0Ly ;

or, more concisely, L  L ¼ i0L: We then also have the relation s  s ¼ i0s:

ð3:10:11Þ

It is useful to define two new operators, sþ and s , known as spin raising and lowering operators, by writing sþ ¼ sx þ isy ;

s ¼ sx  isy :

ð3:10:12Þ

½sz ; s  ¼ 0s :

ð3:10:13Þ

We then find that ½sz ; sþ  ¼ 0sþ ;

116

Boson systems

It then follows that if the state j"i is an eigenfunction of sz having eigenvalue  1 1 2 0, then s j"i is the eigenfunction j#i of sz having eigenvalue  2 0. sz ðs j"iÞ ¼ ðs sz  0s Þj"i ¼ ð12 0s  0s Þj"i ¼  12 0ðs j"iÞ: The naming of sþ may be similarly justified by showing that it transforms j#i into j"i. As these are the only two possible states for a spin- 12 particle we have sþ sþ ¼ s s ¼ 0: The spin raising and lowering operators remind us rather strongly of boson creation and annihilation operators. We recall that the number operator for a boson state can have an eigenvalue equal to any one of the infinite spectrum of natural numbers (Fig. 3.10.1(b)). The operator sz , which has eigenvalues  12 0 (Fig. 3.10.1(a)) could be considered as operating within the ‘‘ladder’’ of the boson system if we could somehow disconnect the bottom two rungs from the rest of the spectrum. The procedure that enables one to make the correspondence between the spin system and the boson system is known as the Holstein–Primakoff transformation. We define boson operators ay and a as usual so that ½a; ay  ¼ 1;

ay a ¼ n;

Figure 3.10.1. In the Holstein–Primakoff transformation a direct correspondence is achieved between the two possible states of a particle of spin 12 0 and the n ¼ 0 and n ¼ 1 states of a harmonic oscillator.

3.11 Magnons

117

and make the identification sþ ¼ 0ð1  nÞ1=2 a;

s ¼ 0ay ð1  nÞ1=2 :

ð3:10:14Þ

Substitution of these expressions in (3.10.11), (3.10.12), and (3.10.13) shows that these relations satisfy the commutation relations for spin operators, and that ! sz ¼ 0 12  n :

ð3:10:15Þ

This form for sz seems to suggest that it can have all the eigenvalues 12 0,  12 0,  32 0, etc. While this is so one can also see that the operator s , which transforms the state with sz ¼ þ 12 0 to that with sz ¼  12 0, is not capable of further lowering the spin, as the factor (1  nÞ1=2 then gives zero. There is in effect a barrier separating the lowest two levels of the boson system from the other states. This correspondence paves the way for the description of a ferromagnet in terms of a gas of interacting bosons. We shall in particular consider a model of a ferromagnetic insulator. This is distinguished from the ferromagnetic conductor considered in Section 2.8 by the fact that the spins are considered as bound to a particular lattice site in the manner of the classical model of Section 1.4.

3.11 Magnons In a ferromagnet an atom carrying a magnetic moment is not free to orient itself at random, but is influenced by the moments carried by other atoms in the crystal. The simplest model of such a situation is due to Weiss, who assumed that there was an effective magnetic field Hm acting on each atom proportional to the macroscopic magnetization of the whole crystal. This model is very similar in concept to the Einstein model of lattice dynamics introduced at the end of Section 3.8, where it was assumed that the restoring force on a displaced atom was due equally to every other atom in the crystal. The term mean field model is now used generically to refer to theories such as the Weiss or Einstein models in which a sum of different forces is approximated by an overall average. Because a mean field theory ignores the dominance of interactions between neighboring atoms, there are no lowfrequency phonons in the Einstein model of lattice dynamics. As a consequence the lattice specific heat is incorrectly predicted to vary exponentially at low temperatures. In a similar way the Weiss model of ferromagnetism does not support the existence of magnons of low frequency, and the magnetization of

118

Boson systems

a ferromagnet of spinning electrons is also incorrectly predicted to vary exponentially at low temperatures. What is needed to rectify this situation is a theory based on a model in which the interaction between near neighbors is emphasized. The simplest such model of a ferromagnet is one in which neighboring spins interact only through the z-component of their magnetic moments. A lattice of N fixed electrons (fixed so that we can neglect kinetic and potential energies) would then have the Hamiltonian H¼

X

 X 0 sz ðlÞ ju0 j þ Jll 0 sz ðl Þ ; l0

l

where u0 ¼ eHz =mc, the l and l 0 are lattice sites, and the Jll 0 are functions only of l  l 0 . This is known as the Ising model, and is of great interest to those who study the statistical mechanics of phase transitions. It is of less interest to us, however, as it is no more able to support magnons than was the Weiss model. We could say in classical terms that because the x- and ycomponents of magnetic moment are ignored, the tilting of one moment does not induce its neighbor to change its orientation. It is thus necessary to introduce interactions between the x- and y-components of spin, leading us to the Heisenberg model, for which H¼

X l

 X 0 sðlÞ
u0 þ Jll 0 sðl Þ :

ð3:11:1Þ

l0

We rewrite this in terms of boson operators by making use of the Holstein– Primakoff transformation. From Eqs. (3.10.12), (3.10.14), and (3.10.15) we find sðlÞ
sðl 0 Þ ¼ sx ðlÞsx ðl 0 Þ þ sy ðlÞsy ðl 0 Þ þ sz ðlÞsz ðl 0 Þ ¼ 12 ½sþ ðlÞs ðl 0 Þ þ s ðlÞsþ ðl 0 Þ þ sz ðlÞsz ðl 0 Þ y

y

¼ 12 02 ½ð1  nl Þ1=2 al a l 0 ð1  nl 0 Þ1=2 þ a l ð1  nl Þ1=2 ð1  nl 0 Þ1=2 al 0  þ 02 ð12  nl Þð12  nl 0 Þ:

ð3:11:2Þ

At very low temperatures the magnetization of the specimen, which will be directed in the z-direction, will be close to its saturation value of (Ne=mcÞ 12 0.

119

3.11 Magnons

That is, the total z-component of spin will be close to 12 N0. In terms of the boson number operators, nl , we have from (3.10.15) that X X sz ðlÞ ¼ 12 N0  nl 0; l

l

showing that the expectation value of the nl will all be small compared with unity at low temperatures. We take this as justification for neglecting terms of order n2 in expression (3.11.2). Replacing (1  nl Þ1=2 by unity in this way we find that   y y sðlÞ
sðl 0 Þ ’ 12 02 al a l 0 þ al al 0 þ 12  nl  nl 0 : As we are looking for spin waves, now is clearly the time to transform from local to collective coordinates. The magnon creation and annihilation operators are defined by X iq
l y X iq
l ayq ¼ N 1=2 e al ; aq ¼ N 1=2 e al ; l

l

from which y

a l ¼ N 1=2

X

eiq
l ayq ;

al ¼ N 1=2

X

q

eiq
l aq :

q

The sum over q is restricted as for the case of phonons to N distinct allowed values, such as are contained within the first Brillouin zone defined in Section 3.6. We then find that 0 0 0 0 02 X ½aq ayq 0 eiðq
lq
l Þ þ ayq aq 0 eiðq
lq
l Þ sðlÞ
sðl Þ ’ 2N q;q 0

0

0

0

0

 ayq aq 0 ðeiðqq Þ
l þ eiðqq Þ
l Þ þ 14 02 : If we define Jq ¼

X l0

0

eiq
ðl lÞ Jll 0

we have for the Heisenberg Hamiltonian (3.11.1)  i X y Xh ! ! aq aq  12 þ 12 02 J0  Jq ayq aq þ J0  Jq aq ayq  32 J0 : H ¼ 0!0 q

q

120

Boson systems

For a Bravais lattice it will be true that Jq ¼ Jq , giving us H ¼ E0 þ

X

0!q ayq aq ;

q

where E 0 is a constant and !q ¼ !0 þ 0ðJ0  Jq Þ: Within the approximations we have made we can thus consider the magnet as a system of independent bosons. Because J0  Jq ¼ 2

X l0

Jll 0 sin2

$1

2 q
ðl

%  l 0Þ

the magnon frequency ! will always increase as q2 for small values of q, in agreement with the classical approach of Section 1.4. This simple theory is adequate to account for a number of the lowtemperature properties of ferromagnets, when only a few magnons are excited. The total magnetization, Mz , for instance, is given by e X e sz ðlÞ ¼ Mz ¼ mc l mc

! X 1 e0 N0  nl 0 ¼ 2 mc l

! X 1 N nq ; ð3:11:3Þ 2 q

showing that each magnon carries a magnetic moment of ðe0=mcÞ. The Bohr magneton B is defined as e0=2mc, and so we can write the deviation from saturation of the magnetization as M0  Mz ¼ 2B

X

nq :

q

Because the magnons behave as bosons the average number present in any mode will be given by (3.3.2), from which X q

nq ¼

X q

1 : exp ð0!q =kTÞ  1

ð3:11:4Þ

At low temperatures only magnons of low energy will be present, and so in a cubic crystal in the absence of an applied field !q may be approximated by q2 , where  is a constant. Writing the summation over q as an integral in

3.11 Magnons

121

q-space we find X q

nq /

ð

q2 dq : exp ð0q2 =kTÞ  1

Changing the variable of integration from q to x ¼ 0q2 =kT gives the lowtemperature relation M0  Mz / T 3=2 ;

ð3:11:5Þ

which is a result well verified experimentally. Mean field theories predict either a linear or exponential variation, according to whether a classical or quantized picture of the magnetic moment is used. As the temperature is increased and the magnetization begins to deviate from its saturation value, the approximation of replacing (1  nl Þ1=2 by 1 will become less valid. If we expand this expression binomially, writing ð1  nl Þ1=2 ¼ 1  12 nl  18 n2l     0 1 X y a q aq 0 eiðqq Þ
l     ¼1 2N q;q 0 we can interpret the exact Hamiltonian as describing a magnon system with interactions. We could then use perturbation theory to calculate a better estimate of how the magnetization should vary with temperature at low T. However, we know that there exists a Curie temperature, TC , at which the magnetization vanishes. It will thus be a fruitless task to pursue the perturbation approach too far in this direction, as convergence will become very slow as soon as T becomes comparable to TC . There are also complications that arise from the upper limit !max to the frequencies !q over which one sums in Eq. (3.11.4). This introduces terms of the form e0!max =kT , which are not expressible as any sort of power series in T, and makes comparison with experiment very difficult. As a final note on magnons it should be mentioned that more complicated magnetic structures than the ferromagnet also have elementary excitations in the form of spin waves. Simple, helical, and canted antiferromagnetism and ferrimagnetism are examples of phenomena that arise when various interactions occur between localized spins in various crystal structures. All these exhibit magnon excitations of one form or another, and show a variety of forms of !ðqÞ.

122

Boson systems

Problems 3.1 Verify that for the Bogoliubov operators defined in Section 3.4 y

½k ;  k 0  ¼ kk 0 : 3.2 Calculate the excitation spectrum of a gas of charged bosons interacting through the Coulomb potential. 3.3 An alternative approach to the Bogoliubov theory of interacting bosons first expresses the Hamiltonian (3.4.1) in terms of  and y . One then argues that the ground-state energy is found by evaluating hjHji, where ji is the vacuum state such that k ji ¼ 0 for all k. Show that minimization of this ground-state energy with respect to the k leads to the same results as the approach given in the text. 3.4 Optical and Acoustic Modes The problem of the chain of masses and springs is modified by the introduction of extra springs connecting every second particle. Then, with l ¼ na,  X 1 2 1 2 H¼ p þ K ðy  ylþa Þ 2M l 2 1 l all n þ

X 1 K2 ðyl  ylþ2a Þ2 : 2 even n

Find the phonon frequencies for this system. [Hint: First make the transformations: X iql X iql e yl ; yð2Þ e yl : yð1Þ q ¼ q ¼ n even

n odd

3.5 A particle is bound in a one-dimensional potential, VðxÞ, which can be approximated for small x by V ¼ 12 m!2 x2  x3 : Ð Show how the mean position of the particle, *x dx, changes with the energy of the eigenstates when  is small. [Hint: Use perturbation theory on the harmonic oscillator states by writing x3 and x in terms of ay and a.] This illustrates the fact that the thermal expansion of a crystal is due to anharmonic terms in the potential energy.

123

Problems

3.6 Magnon–phonon Interactions If we allow the spins in the Heisenberg Hamiltonian (3.11.1) to be displaced by the presence of phonons in the lattice, then we must allow the constants Jll 0 to be functions of the displacements yl and yl 0 . At low temperatures these displacements will be small and one can put Jll 0 ðyl ; yl 0 Þ ¼ Jll 0 ð0; 0Þ þ yl
Kll 0  yl 0
Kll 0 : Rewrite the total Hamiltonian in terms of magnon and phonon anni, ayq ðmagnonÞ , aðphononÞ , and hilation and creation operators, aðmagnonÞ q q y ðphononÞ aq . 3.7 Show that the Hamiltonian for magnon–phonon interactions derived in Problem 3.6 exhibits conservation of the total number of magnons, in that

H;

X

 ayq aq ¼ 0

q

when ayq and aq are magnon operators. 3.8 The result of Problem 3.7 is no more than an expression of the conservation of total angular momentum in the z-direction. Nonconservation of total magnon number can occur when there is interaction between the electron spin and the spin of the nucleus at a particular site. Express in terms of magnon operators the Hamiltonian of a Heisenberg ferromagnet interacting with a nuclear spin of 12 0 at one particular site. y

3.9 Evaluate the expectation value of nk ¼ a k ak in the ground state ji of the Bogoliubov picture of helium. [Hint: Express nk in terms of the -operators and then make use of the fact that k ji ¼ 0 for all k.] 3.10 Express the ground-state ji of the Bogoliubov picture of helium in y terms of the operators a k and the vacuum state j0i. 3.11 Prove the statement preceding Eq. (3.6.3) which says that the matrix Vqij has three mutually perpendicular eigenvectors.

124

Boson systems

3.12 Consider a large number N of spinless interacting bosons of mass m in a large one-dimensional box of length L. There are periodic boundary conditions. The particles interact via a delta-function potential, and so the Hamiltonian is H¼

X k

y

Ak2 a k ak þ ðV=2LÞ

X

y

y

a kq a k 0 þq ak 0 ak

k;k 0 ;q

with A and V constants. The sums proceed over all permitted values of k, k 0 , and q. That is, the terms with q ¼ 0 are not excluded from the sum. (a) Calculate the energy of the ground state of the noninteracting system. (b) Calculate the energy of the ground state of the interacting system in the Hartree approximation. (c) Estimate the speed of low-frequency sound waves in this system.

Chapter 4 One-electron theory

4.1 Bloch electrons The only model of a metal that we have considered so far has been the gas of interacting electrons. A real metal, of course, contains ions as well as electrons, and we should really include the ionic potentials in the Hamiltonian, rather than the uniform background of positive charge that we used to approximate them. The difficulty of the many-electron problem is such, however, that the loss of translational invariance caused by adding an ionic potential Vðr) to the Hamiltonian proves disastrous. Even in the Hartree– Fock approximation, for example, it becomes impossible to write the energy in a closed form. When there was no ionic potential we could write the wavefunction of the noninteracting system as j
i ¼

Y

y

ck j0i;

ð4:1:1Þ

jkj E kc , the summation over core states has a tendency to be positive, while Vgg 0 , which is just the Fourier transform of the lattice potential, tends to be negative. The off-diagonal elements of D, and hence the energy discontinuities at the zone boundaries, are thus smaller than we should expect from using the model based on plane waves. We can see this another way by explicitly separating the core functions from the sum of OPWs that form the complete wavefunction. Let us first abbreviate the operator that projects out the core Bloch states by the

148

One-electron theory

symbol Pk . Thus Pk 

X

jkc ihkc j

c

and jkþg OPW i ¼ ð1  Pk Þjk þ gi: The exact wavefunction is a sum of OPWs, and so X OPW j ki ¼ ug ðkÞð1  Pk Þjk þ gi; g

which we write as j

ki

¼ ð1  Pk Þj k i

where j k i ¼

X

uOPW ðkÞjk þ gi: g

g

Then ki

ðH  EÞj

¼ ðH  EÞð1  Pk Þj k i ¼ 0

ð4:4:3Þ

and we may look upon the problem not as one of finding the states j k i that are eigenfunctions of H  E, but as one of finding the states j k i that are eigenfunctions of (H  EÞð1  Pk Þ. Now H is composed of kinetic energy T and potential V, so that k must be an eigenfunction of ðT þ V  EÞð1  Pk Þ ¼ T  E þ Vð1  Pk Þ  ðT  EÞPk : Thus (4.4.3) can be written ðT þ Uk Þj k i ¼ Ej k i; where the operator Uk ¼ Vð1  Pk Þ  ðT  EÞPk

ð4:4:4Þ

is known as a pseudopotential operator. We can argue that we expect it to have only a small effect on the pseudo-wavefunction k by noting two points.

4.4 Core states and the pseudopotential

149

Firstly we expect Vð1  Pk ) to have small matrix elements, since it is just what is left of V after all the core states have been projected out of it. The strongest part of V will be found in the regions near the atomic nuclei, and so the core states, which are concentrated in the same regions, will be suitable functions in which to expand V. The combination T  E, on the other hand, is not so drastically affected by the operation 1  Pk . On the contrary, it becomes reasonable to assume that (T  EÞPk has only a small effect, for there will be little overlap between k and the core states if k is indeed just acombination of a few plane waves of small wavenumber. It thus is selfconsistent to assume that the pseudopotential is weak and that k is a smoothly varying function. One should remember, however, that although Uk may be small it remains an operator rather than a simple potential, and has a dependence on energy that must sometimes be treated carefully. Yet another way of looking at the pseudopotential is obtained by defining a new Hamiltonian H 0 formed by adding (E  HÞPk to the original Hamiltonian. Then H 0 ¼ H þ ðE  HÞPk X ¼Hþ ðE  E kc Þjkc ihkc j: c

The extra terms added to H have artificially raised the energies of the core states to be equal to E, as can be seen by letting H 0 act on the kc . Now since the lowest energy levels of H 0 are degenerate, we can state that any linear combination of k and the kc are eigenstates of H 0 , and we are at liberty to choose that combination k that is most smoothly varying, and hence which can be best approximated by the fewest plane waves. This expresses the fact that the pseudo-wavefunction k is not uniquely defined by (4.4.3), which only says that the part of k that is orthogonal to the core states must be equal to k . When pseudopotentials are used in numerical calculations, their character as operators makes itself felt. One must then deal with a nonlocal form of the pseudopotential in which the interaction between an electron and a nucleus depends on their coordinates separately, and not only on their relative coordinates. Fortunately, the pseudopotential can usually be split into factors, each of which depends on only one separate coordinate. This greatly reduces the memory requirements for computer calculations. Pseudopotentials have been developed in which the normalization of the pseudo-wavefunction j k i has been relaxed in favor of making the pseudopotential as soft as possible. While this leads to a slight complication in calculating the electron

150

One-electron theory

charge density, the advantage of these so-called ultrasoft pseudopotentials is that many fewer plane waves are required in expansions of the electron valence states. In summary, then, pseudopotential theory serves to show that the band structure of simple metals may be much closer to that of the remapped freeelectron model than one would be led to believe by considering the strength of the lattice potential alone.

4.5 Exact calculations, relativistic effects, and the structure factor Although pseudopotential theory provides a useful short cut for the calculation of band structures and Fermi surfaces of simple metals, there remain many cases for which it is difficult to implement. In transition metals, for example, the electron states of interest are formed from atomic s-states and d-states, and thus mix core-like and free-electron-like behavior. To account correctly for the magnetic properties of transition metals, care has to be taken to include adequately the interactions between bands formed from 3d and 4s states and deeper-lying bands formed from atomic 3s and 3p states. For these cases a variety of ways of solving the Schro¨dinger equation have been derived, and these are discussed in great detail in the many books now available that are devoted solely to band structure calculations. Here we shall outline just one such method which follows fairly naturally from Eq. (2.5.6), the starting point of Brillouin–Wigner perturbation theory. Equation (2.5.6) may be written in the form j i ¼ aji þ ðE  H0 Þ1 Vj i; where a is a constant whose value is determined by the condition that the presence of the term aji ensure that j i reduces to the unperturbed state ji as V tends to zero. For the present problem we take H0 to be the kinetic energy of a single electron and V the lattice potential, so that for the Bloch state j k i j

ki

¼ ajki þ ðE  H0 Þ1 Vj k i 1 X 02 k 02 ¼ ajki þ jk 0 ihk 0 jVj E 2m 0 k

k i:

But since k is a Bloch state and VðrÞ is a periodic function, the matrix element hk 0 jVj k i must vanish unless, for some reciprocal lattice vector g,

4.5 Exact calculations, relativistic effects, and the structure factor

151

we find that k 0 ¼ k þ g. This follows from the direct substitution 0

hk jVj

ki

/ ¼

ð ð

eik

0


r

VðrÞeik
r uk ðrÞ dr

0

eiðkk Þ
ðrlÞ Vðr  lÞuk ðr  lÞ dr

ð 0 1 X iðkk 0 Þ
l ¼ eiðkk Þ
r VðrÞuk ðrÞ dr e N l ¼ 0 unless k  k 0 ¼ g: Thus j

k i ¼ ajki þ

 X 02 ðk þ gÞ2 1 jk þ gihk þ gjVj E 2m g

k i:

Let us define an operator Gk ðEÞ by writing 1 X 02 ðk þ gÞ2 Gk ðEÞ  jk þ gihk þ gj: E 2m g That is, Gk ðEÞ is just the operator (E  H0 Þ1 restricted to act only on states that are of the Bloch form with wavenumber k. Then j

ki

¼ ajki þ Gk ðEÞVj

k i:

We can verify by making use of the normalization condition hkj k i ¼ 1 that in this case the constant a can be put equal to zero (Problem 4.15), so that j

ki

¼ Gk ðEÞVj

k i:

ð4:5:1Þ

It then follows that if one defines a quantity  by ¼h

k jVj k i

h

k jVGk ðEÞVj k i;

then from (4.5.1) we find that  vanishes when Schro¨dinger equation. That is, since Vj

ki

¼ ðE  H0 Þj

ki

k

ð4:5:2Þ

is a solution of the

152

One-electron theory

we are in effect writing ¼h ¼h

k jVj k jðE

 jðE  H Þ k 0

ki  h

 HÞj

 1 ðE  H0 Þj E  H0

ki

k i:

But now we not only know that  vanishes, but also that we may determine k by a variational approach that minimizes . In terms of integrals in r-space, expression (4.5.2) may be written ¼

ð



*k ðrÞVrÞ ðð

k ðrÞ dr

*k ðrÞVðrÞGk ðr  r 0 ÞVðr 0 Þ

k ðr

0

Þ dr dr 0

ð4:5:3Þ

where 0

Gk ðr  r Þ ¼ 

1

 X 02 ðk þ gÞ2 1 iðkþgÞ
ðrr 0 Þ e : E 2m g

An advantage claimed for this method is that Gk ðr  r 0 Þ depends only E, k, r  r 0 and the positions of the reciprocal lattice sites g, and may thus be computed once and for all for any particular crystal structure. One may then use this function in conjunction with whatever lattice potential VðrÞ is appropriate to the material under consideration. This approach is known as the Korringa–Kohn–Rostoker (KKR) or Green’s-function method. One effective approach of this type is known as the Linear Muffin-Tin Orbital method, or LMTO method. If we look back to Eq. (4.5.1) we may be reminded of equations used to describe the scattering of a particle by a single spherically-symmetric scatterer. Particle-scattering theory describes the perturbed wavefunction in terms of phase shifts for the various angularmomentum components of the scattering. This suggests that the operator Gk ðEÞ could be recast in a basis of spherical-harmonic components that are solutions of the Schro¨dinger equation for a single spherically-symmetric potential. It is convenient to choose a potential that approximates the actual effective potential of the atom, but which vanishes outside a certain radius (hence the term ‘‘muffin-tin’’!). This reduces the computational effort needed, and makes possible the calculation of band structures in crystals having bases of hundreds of atoms per unit cell.

4.5 Exact calculations, relativistic effects, and the structure factor

153

Before leaving the topic of the calculation of band structures, we should glance briefly at the question of when it is valid to ignore relativistic effects. The Fermi energies of metals, by which we generally mean the energy difference between the lowest and highest filled conduction state, are of the order of a few electron volts. As this figure is smaller than the rest-mass energy by a factor of about 105 , it might at first be thought that we could always neglect such effects. However, one must remember that the potential wells near the nuclei of heavy atoms are very deep, and that only a small change in energy may sometimes cause qualitative differences in band structure in semiconductors in which the band gaps are small. Accordingly, we turn to the Dirac equation, which describes the motion of a relativistic electron in terms of a four-component wavefunction. Because the Dirac Hamiltonian, like the Schro¨dinger Hamiltonian, has the periodicity of the lattice, each component of the wavefunction obeys Bloch’s theorem, and one may associate a wavenumber k with each state. It is thus formally possible to recast the OPW method in terms of the orthogonalization of fourcomponent plane waves to the four-component tight-binding core states, a procedure that was first carried through for thallium. However, because the relativistic effects usually contribute only a small amount to the total energy of a Bloch electron, it is often possible to treat them as a perturbation of the nonrelativistic band structure. In Section 3.10 we noted that the Dirac equation could be reduced by means of the Foldy–Wouthuysen transformation to an equation of the form H ¼E where now is a two-component wavefunction describing an electron with spin 12, and H, in the absence of a magnetic field, is given by H¼

p2 p4 þ VðrÞ  3 2 2m 8m c þ

1 02 s
½rVðrÞ  p þ r2 V þ : 2m2 c2 8m2 c2

The third term in this expression simply reflects the relativistic increase in mass of the electron, and is known as the mass–velocity term. The next term contains the spin angular momentum s of the electron, and is the spin–orbit coupling term. It may be qualitatively understood as the energy of alignment of the intrinsic magnetic moment of the electron in the magnetic field caused

154

One-electron theory

by its own orbital motion. The fifth term is known as the Darwin term, and can be thought of as a correction due to the finite radius of the electron. If these three correction terms are to be treated as perturbations to the Schro¨dinger Hamiltonian, then it is necessary to calculate not only the energies of the Bloch states in the various bands, but also their wavefunctions, which involves considerably more labor. Some calculations have consequently been made using the tight-binding approximation to describe the wavefunctions. Because the relativistic terms are important only in the vicinity of the atomic nuclei, the tight-binding model provides a wavefunction whose shape is a very good approximation to that of the true Bloch state in the region that is important. However, the amplitude of the wavefunction and consequently the size and k-dependence of these effects may be less accurately predicted. Since the Darwin, mass–velocity, and spin–orbit terms give energy shifts of comparable magnitude, they must all be considered in semiconductors such as PbTe in which such small perturbations may qualitatively change the band structure. Because their effect is strongest close to the atomic nuclei, the Darwin and mass–velocity terms tend to lower the energies of s-states relative to p- and d-states. Some of the differences in properties between copper, silver, and gold arise in this way. In the hexagonal metals it is the spin– orbit term which, because of its lack of symmetry, most often causes observable effects. The detailed study of the effect of the spin–orbit term on band structure is a difficult topic which requires some knowledge of group theory, but the nature of the effects can be seen from the following simple examples. Let us consider first the zone boundary at kx ¼ g in the sandwichium model used in Section 4.3 and in Problems 4.1 and 4.2. If we were to use the nearly-free-electron approximation with only the two plane waves eikx and eiðk2gÞx we should find no discontinuity in the energy at kx ¼ g. This would be a consequence of the vanishing of the matrix element V2g /

ð

eikx x 2V cos gx eiðkx 2gÞx dr:

If, however, we were to use the three plane waves eikx x , eiðkx gÞx , and eiðkx 2gÞx , then we should find a discontinuity in the energy at kx ¼ g (Problem 4.9). In physical terms we could say that the electron is scattered by the lattice first from kx to kx  g, and then from kx  g to kx  2g. Accordingly the discontinuity in energy is proportional to V 2 , rather than to V as was the case at the zone boundary at kx ¼ 12 g.

4.5 Exact calculations, relativistic effects, and the structure factor

155

In contrast to this we now consider a square lattice of side a in which there are two identical atoms per unit cell, one at (14 a; 14 a) and one at ð 14 a;  14 aÞ, as shown in Fig. 4.5.1(a). The first Brillouin zone is then a square of side 2=a, pffiffi while the second Brillouin zone is contained by a square of side 2 2=a, as shown in Fig. 4.5.1(b). Once again we find that certain Fourier components of the potential vanish, so that, for example, Vg ¼ 0 when g ¼ ð0; 2=a) or (2=a; 0Þ. More generally one may suppose the lattice potential to be composed of atomic potentials Va centered on the various sites, so that X VðrÞ ¼ Va ðr  l  bÞ; ð4:5:4Þ l;b

Figure 4.5.1. In this two-dimensional model the unit cell in r-space (a) is a square of side a containing two atoms at the points ð 14 a; 14 aÞ. The first Brillouin zone (b) is then a square of side 2=a.

156

One-electron theory

where the l describe the positions of the centers of the unit cells and the b describe the positions of the atoms within the cell, so that in this case b1 ¼ ð14 a; 14 aÞ;

b2 ¼ ð14 a;  14 aÞ:

Then 1 Vg ¼ 

ð

eig
r VðrÞ dr

ð N X ig
b ¼ eig
r Va ðrÞ dr: e  b

The summation Sg ¼

X

eig
b

b

is known as the structure factor, and in this case vanishes when gx þ gy ¼ ð2n þ 1Þ

2 a

for all integral n. The vanishing of the structure factor, and hence of Vg , for g ¼ ð0; 2=a) and (2=a; 0) means that there is no discontinuity in energy to first order in the lattice potential at the boundaries of the first Brillouin zone. But this is not all. In this model we should find that to all orders in the lattice potential, there is no discontinuity at these zone boundaries. This fact becomes obvious if we merely tilt our heads on one side and notice p that, ffiffi in fact, we are really just considering a square Bravais lattice of side a= 2 (Fig. pffiffi 4.5.2) whose first Brillouin zone is bounded by the same square of side 2 2=a that was the boundary of the second Brillouin zone in our first way of looking at the model. We note the distinction between the vanishing of the structure factor, which is a property only of the crystal structure, and the vanishing of V2g in sandwichium, which was an accident of our choice of potential. This possibility that the energy discontinuity may vanish identically at some Brillouin zone boundaries is not confined to such artificial models as the present one. In such common structures as hexagonal close-packed, in which more than a dozen elements crystallize, and in the diamond and graphite structures, this very phenomenon occurs. This makes it reasonable to define a new set of zones that are separated by planes on which energy discontinuities do occur. These are known as Jones zones. The construction by which one defines which Jones zone a particular state is in is the following.

4.5 Exact calculations, relativistic effects, and the structure factor

157

Figure 4.5.2. The model of which a unit cell was shown in Fig. 4.5.1(a) is here seen to be merely a square lattice of side 21=2 a. This explains why no energy discontinuities were found at the boundaries of the first Brillouin zone shown in Fig. 4.5.1(b).

A straight line is drawn from the origin of k-space to the point k in the extended zone scheme. If this line passes through n discontinuities in energy, then k is in the (n þ 1)th Jones zone. The relevance of spin–orbit coupling to these considerations lies in the fact that the lack of symmetry in this term in the Hamiltonian can cause the reappearance of energy discontinuities within the Jones zones of some crystal structures. The hexagonal close-packed structure is a particularly important example of a structure in which such effects have been observed. Although this particular lattice is rather complicated to investigate here, we can understand the way in which the energy gaps are restored by the spin–orbit interaction by considering a modification of the square lattice shown in Fig. 4.5.1. We retain the square cell of side a, but this time we place the two identical atoms at ( 16 a; 14 a) and ( 16 a;  14 a), as shown in Fig. 4.5.3. The structure factor will now be Sg ¼ 2 cos



 agx agy þ ; 6 4

158

One-electron theory

Figure 4.5.3. In this modification of the model shown in Fig. 4.5.1(a) the atoms are now placed at the points ð 16 a; 14 aÞ:

Figure 4.5.4. Although the Brillouin zone for the lattice shown in Fig. 4.5.3 is a square, no discontinuities in energy occur at the dashed lines when a nonrelativistic Hamiltonian is used.

which will still vanish for g ¼ ð0; 2=aÞ but no longer for g ¼ ð2=a; 0). In first order the energy discontinuities will then occur at the solid lines of Fig. 4.5.4. Let us now suppose that we use the nearly-free-electron approximation to find the wavefunctions that result from considering the Fourier component Vg of the lattice potential for g ¼ ð2=a; 0). We then could write

4.5 Exact calculations, relativistic effects, and the structure factor

159

the wavefunctions in the form k

¼ 1=2 ½u0 eik
r þ u1 eiðk
r2x=aÞ 

with u0 and u1 a pair of real coefficients which we could determine explicitly in terms of k, if we so wished. We might now look for a second-order discontinuity along the lines ky ¼ =a (the dashed lines in Fig. 4.5.4) by seeing whether the lattice potential can mix the states of wavenumbers k and k þ g with g ¼ ð0; 2=a). We thus form W¼

ð

¼

*kþg VðrÞ 1

ð

k dr

ðu0 þ u1 e2ix=a Þe2iy=a VðrÞðu0 þ u1 e2ix=a Þ dr:

A substitution of the form (4.5.4) then serves to show that W vanishes because of the form of the structure factor; there are terms in u20 and in u21 which vanish because Sg ¼ 0 for g ¼ ð0; 2=a) and two terms in u0 u1 which cancel because the value of Sg when g ¼ ð2=a; 2=a) is the negative of its value when g ¼ ð2=a; 2=aÞ. If, however, we add to VðrÞ the spin–orbit term we shall find a different result. Then 1 s
W¼ 2m2 c2

ð

*kþg ½rVðrÞ  p

k

dr:

The terms in u20 and u21 still vanish, but the cross term leaves a contribution from the different values p takes when acting on the two plane-wave components of k . One finds 0u u W ¼  20 21 s
2m c 

ð

e2iðyxÞ=a rV  ð2=a; 0Þ dr:

The integral is proportional to Sg for g ¼ ð2=a; 2=aÞ, which does not vanish. The degenerate states k and kþg are thus mixed by the spin– orbit interaction, and energy discontinuities reappear at the Brillouin zone boundaries. Although these splittings are usually small they are still sufficient to alter the topology of the Fermi surface, and thus cause effects which are readily observable.

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One-electron theory

4.6 Dynamics of Bloch electrons In what we have considered so far, the wavenumber k has been little more than a label for the Bloch states. Experiments, however, are concerned with such measurable properties as the electric current carried by a system of electrons in the presence of applied fields. We accordingly now turn to a consideration of the velocity of Bloch electrons and the modification of this quantity by applied electric and magnetic fields. The velocity of an electron in the absence of a magnetic field is proportional to the expectation value of its momentum ð 1 v¼ *p dr m ð i0 ¼ *r dr: ð4:6:1Þ m We can relate this to the band structure by returning to the Schro¨dinger equation written in the form (4.1.4) Hk uk ðrÞ ¼ E k uk ðrÞ

ð4:6:2Þ

where Hk  

02 ðr þ ikÞ2 þ VðrÞ: 2m

We differentiate (4.6.2) with respect to k (that is, we take the gradient in k-space) to find   @ @ u ðrÞ ¼  ðHk  E k Þ uk ðrÞ ðHk  E k Þ @k k @k   i0 @E k ¼ ðr þ ikÞ þ u ðrÞ: m @k k But since k

¼ eik
r uk ðrÞ;

then from (4.6.1) @E 0vk ¼ k  @k

ð

u*k ðrÞðHk  E k Þ

@ u ðrÞ dr: @k k

4.6 Dynamics of Bloch electrons

161

The integral vanishes because of the Hermitian nature of Hk , as can be seen by integrating by parts, leaving the result vk ¼

1 @E k : 0 @k

ð4:6:3Þ

This result appears more familiar if we define a frequency !k by writing E k ¼ 0!k . Then vk ¼ @!k =@k, which is the usual result for the group velocity of a wave of angular frequency !k in a dispersive medium. We now know the total electric current carried by the conduction electrons if we know which k-states are occupied. The current density due to a single electron in the state k will be evk =, so that the total current density is j ¼ 1

X

nk evk :

ð4:6:4Þ

k

In this independent-particle model the occupation number nk takes on only the values 0 or 1. In equilibrium j, which is of course a macroscopic quantity, vanishes, and if we are to set up a current flow we must first apply an electric field by, for example, adding to the Hamiltonian a potential eE
r. There are now two paths open to us in investigating the effect of the electric field – the timedependent approach and the time-independent approach. At first it seems that one should treat the applied field as a perturbation and look for the eigenstates of the perturbed system. Because the Hamiltonian is constant in time there appears no reason to use time-dependent methods. Unfortunately, however, this approach is a very difficult one, the chief difficulty arising from the fact that no matter how small E is, the potential eE
r cannot be treated as a perturbation in an infinite system because r then becomes indefinitely large. A similar difficulty arises when one applies a magnetic field, the vector potential then becoming large at large distances. We shall consequently leave the question of the eigenstates of Bloch electrons in applied fields and turn to the time-dependent approach. A wave packet traveling with velocity vk in a uniform force field eE might be expected to increase its energy at the rate eE
vk . On the other hand, if this change in energy reflects a change in the wavenumber of the Bloch states forming the wave packet, we could write dE k @E k dk dk ¼ 0vk
¼
dt dt @k dt

162

One-electron theory

from (4.6.3). For these two pictures to be equivalent we must have 0

dk ¼ eE: dt

ð4:6:5Þ

This result is not quite correct, as it is really only the kinetic energy that we should expect to increase at the rate eE
vk , and the potential energy of the Bloch state will also be changing if k is changing. To see this more clearly we can consider the time-dependent Schro¨dinger equation for an electron initially in a Bloch state of wavenumber k. Then k ðr; tÞ ¼

k ðrÞe

iEt=0

¼ eik
r uk ðrÞeiEt=0 satisfies the Schro¨dinger equation in the absence of the applied field. If we now add the potential eE
r to the Bloch Hamiltonian H0 , then at t ¼ 0 i0

@k ¼ ðH0  eE
rÞk @t ¼ ðE k  eE
rÞk :

ð4:6:6Þ

But if the only change in k is to be a change in k at the rate given by (4.6.5) we should find at t ¼ 0      @k @k @k dk i0 ¼ i0 þ
@t @t k @k t dt   @ ¼ E k k þ ieE
eik
r ir þ u ðrÞ @k k   @ ln uk ðrÞ ¼ E k  eE
r þ ieE
k : ð4:6:7Þ @k When the third term in (4.6.7) is neglected, this expression becomes identical to (4.6.6) and one may say that the wavenumber of a Bloch electron is changed by the field at just the same rate as that of a free electron. We note, however, that the rate of change of the velocity of the electron bears no similarity to that of the free particle, in that as k approaches a zone boundary the velocity may fall to zero. This would be the case in sandwichium for k ¼ ðkx ; 0; 0Þ, as shown in Fig. 4.6.1. The discontinuity in slope of vk at the zone boundary draws attention to the fact that we do not expect a weak steady field to be able to provide the energy to enable the electron to

4.6 Dynamics of Bloch electrons

163

Figure 4.6.1. When the energy (a) varies in the kx direction in sandwichium in the usual way, the velocity (b) in this direction falls to zero at the zone boundaries.

move from the first to the second Brillouin zone. That is, we cannot interpret (4.6.5) in the extended zone scheme, but must look more closely at the Bloch states for which k lies directly on the zone boundary. In the two-plane-wave approximation for sandwichium, for example, uk ðrÞ ¼ u0 ðkÞ þ u1 ðkÞeig
r ; and as k approaches ( 12 g; 0; 0) we choose for g the reciprocal lattice vector

164

One-electron theory

(g, 0, 0). It may be verified by solving the equations of Section 4.3 for u0 and u1 that when k lies on the zone boundary, then u0 ¼ u1 for the solution of lowest energy when V > 0, so that ug=2 ðrÞ ¼ 21=2 ð1  eigx Þ: When k approaches ( 12 g; 0; 0Þ, on the other hand, we choose g ¼ ðþg; 0; 0Þ. Again we find that also on this zone boundary u0 ¼ u1 , and ug=2 ðrÞ ¼ 21=2 ð1  eigx Þ ¼ eigx ug=2 ðrÞ: We now note that these two wavefunctions are identical, in that when we multiply by eik
r (with the appropriate k) we find just the same wavefunction k , apart from an unimportant constant factor. Thus the action of the electric field is to cause the wavenumber of the electron to change at a constant rate until the zone boundary is reached, at which point the wavenumber is ambiguous. The electron may then be considered to have wavenumber k  g, and so the whole process may be repeated, with k increasing until the same zone boundary is again reached. Alternatively we may use the repeated zone scheme, and say that k is changing steadily with time, although the electron always remains in the first band. This is illustrated in Fig. 4.6.2(a) which shows the variation of the various components of uk ðr) with k. In Fig. 4.6.2(b) the electron velocity vk in the first band is plotted in the repeated zone scheme. The fact that it is a periodic function of k shows that the electron would exhibit oscillatory motion in a crystal so perfect that no scattering occurred. In the region near the zone boundary vk becomes more negative with increasing k as a consequence of the hole-like behavior characterized by the negative curvature of the function E x ðkx Þ. The term in (4.6.7) that we neglected was of the form ieE


@ ln uk ðrÞ: @k

It is only when this term is small that the approximation (4.6.5) is valid, and this will only be the case when uk ðr) is a slowly varying function of k. Now if the lattice potential is very weak then the Bloch wave is very similar to a plane wave over most of the Brillouin zone. At the zone boundary, however, u0 and u1 will always be of equal magnitude irrespective of the strength of the

4.6 Dynamics of Bloch electrons

165

Figure 4.6.2. As the electron is accelerated by a weak electric field, its wave number kx changes uniformly with time and the amplitudes (a) of the various plane wave components of uk ðrÞ, the periodic part of the Bloch wave function, also change. Because the electron remains in the first Brillouin zone, the velocity (b) then changes periodically and not in the way shown in Fig. 4.6.1.

lattice potential. Thus the derivative @ ðln uÞ=@k is greatest when the lattice potential is weak, and it is then that the picture of the electron moving in a single band breaks down. This extra term that appears in (4.6.7) must be subtracted from the Hamiltonian if the electron is to remain in one band. This term is a function of uk ðrÞ, and is thus periodic with the period of the lattice. We may estimate its magnitude very simply by a glance at Fig. 4.6.3 which shows the band structure near the zone boundary. Since u1 ðkÞ is of order unity at the zone boundary, and has become very small by the time it

166

One-electron theory

Figure 4.6.3. When the lattice potential is weak one may estimate with the aid of this diagram the range k of kx -values over which the energy departs significantly from its free-electron value.

has reached a distance k away, where V’

@E
k @k

we may write @u 1 02 k   ; @k k mV and the extra term is of order eE02 k=mV. When this term is of the order of the lattice potential it may cancel the lattice potential and allow the electron to make a transition to another band. The condition for this not to occur is then eE

02 k  V: mV

Since the Fermi energy E F is roughly 02 k2 =2m and k is of the order of 1=a, where a is the lattice spacing, we may write eEa 

V2 : EF

The condition for (4.6.5) to be valid is thus that the energy gained by the electron in being accelerated through one lattice spacing should be small

4.6 Dynamics of Bloch electrons

167

compared with V 2 =E F . When this condition is not obeyed Zener breakdown is said to occur. While it is difficult to reach such high fields in homogeneous materials, the junction between n- and p-type semiconductors naturally contains a steep potential gradient which permits observation of these effects and as a result of which a variety of device applications are possible. In the case of an applied magnetic field we might suppose that the Lorentz force would tend to change k in the same way as the force of the electric field, so that 0

dk e ¼ v  H: dt c

ð4:6:8Þ

This in fact turns out to be true within limitations similar to those imposed in the case of the electric field, although the demonstration of this result is a little more involved. Let us first choose the gauge so that the vector potential is A ¼ 12 ðH  rÞ;

ð4:6:9Þ

and write the Hamiltonian (as in Eq. (3.10.8)) as H ¼ 12 mv2 þ VðrÞ  2 1 e p  A þ VðrÞ; ¼ 2m c where VðrÞ is now the lattice potential. Then i0

dv ¼ ½v; H dt ¼ 12 m½v; v2  þ ½v; VðrÞ e ¼ i0 v  H þ ½v; VðrÞ mc

ð4:6:10Þ

as may be verified by substituting (p  eA=cÞ for v and using the explicit form (4.6.9) for A. If we had performed a similar manipulation in the case where an electric field was applied we should have found i0

dv eE ¼ i0 þ ½v; VðrÞ; dt m

168

One-electron theory

and since we were able to identify approximately eE with 0 dk=dt we could then have written   dv 0 dk  : ð4:6:11Þ ½v; VðrÞ ¼ i0 dt m dt This relation describes the rate of change of velocity of a Bloch electron whose wavenumber is changing, but which is remaining in a single band. It does not discuss the agency that causes k to change, but merely states the consequent change in velocity. It is thus more general than the case of an applied electric field, and can be used in combination with (4.6.10) when a magnetic field is applied, the commutator ½AðrÞ; VðrÞ vanishing. Substitution of (4.6.11) in (4.6.10) then gives the expected result, (4.6.8). While the electric field caused the wavenumber k to move in a straight line with uniform velocity in the repeated zone scheme, the effect of the magnetic field is more complicated. Equation (4.6.8) states that dk=dt is always perpendicular to both the electron velocity and the magnetic field. But since the velocity is proportional to dE=dk the energy of the electron must remain constant, and k moves along an orbit in k-space which is defined by the two conditions that both the energy and the component of k in the direction of the magnetic field remain constant. As an illustration we consider the possible orbits of an electron in sandwichium when the magnetic field is applied in the z-direction. For states of low energy the constant-energy surfaces are approximately spherical, and their intersections with the planes of constant kz are nearly circular. The electrons thus follow closed orbits in k-space with an angular frequency, !, close to the cyclotron frequency, !0 , of a classical free electron, which is given by eH=mc. Such an orbit is labeled  in Fig. 4.6.4. In real space the path of such a classical electron would be a helix with its axis in the z-direction. For an electron of slightly higher energy the orbit passes closer to the zone boundary, and the electron velocity is reduced below the free-electron value. A circuit of the orbit labeled  in Fig. 4.6.4 thus takes a longer time than a circuit of , and one says that the cyclotron frequency of the orbit  is less than !0 , and would be the same as for a free particle of charge e and mass greater than m in the same magnetic field. One sometimes defines a cyclotron mass m* in this way for a particular orbit by means of the relation m* ¼

m!0 : !

The cyclotron mass, which is a function of the electron velocity at all points on an orbit, must be distinguished from the inverse effective mass defined in

4.6 Dynamics of Bloch electrons

169

Figure 4.6.4. In a magnetic field in the z-direction an electron of low energy in sandwichium will travel the almost circular orbit  in k-space, while one of slightly larger energy will follow the distorted orbit . At still higher energies the electron may either follow the second-zone orbit  or the periodic open orbit  that lies in the first Brillouin zone.

Figure 4.6.5. This diagram shows Fig. 4.6.4 replotted in the repeated zone scheme. The periodic open orbits  carry a current that does not average to zero over a period of the motion.

Section 4.3 which characterized the band structure in the neighborhood of a single point in k-space. If the electron energy is greater than E g  V and kz is sufficiently small there will be some orbits, such as  in Fig. 4.6.4, that meet the zone boundary. The path of the electron in k-space is then a periodic open orbit in the repeated zone scheme, as shown in Fig. 4.6.5. Such orbits are particularly important in determining the conductivities of metals in magnetic fields in that the electron velocity does not average to zero over a period of the orbit. For energies

170

One-electron theory

greater than E g þ V there will also be orbits in the second band, such as those labeled  in Fig. 4.6.4. In the repeated zone scheme these appear as the small closed orbits in Fig. 4.6.5. Because the velocity may be close to its free-electron value (in the extended zone scheme) over much of these orbits while their perimeter is much smaller, the time taken to complete an orbit may be very small. The cyclotron mass is then stated to be correspondingly small. The range of validity of Eq. (4.6.8) may be deduced in a similar way to our estimate in the case of an electric field, and we find that e @ v  H
ln uk ðrÞ c @k must be small compared with the lattice potential. When we write



@u 02 k



@k mV ;

v

0k ; m

0!0 

V2 : EF

eH ¼ !0 mc

we find the condition to be

When this is violated magnetic breakdown is said to occur. The electron then has a finite probability of making a transition from a -orbit to a -orbit in Fig. 4.6.4, and the conductivity may be qualitatively affected.

4.7 Scattering by impurities We have now seen how the application of an electric field causes the wavenumber of a Bloch electron to change, and hence how the electric current grows with time in a perfect periodic lattice. We know, however, that for moderate electric fields the current rapidly becomes constant and obeys Ohm’s law in all normal metals. The current does not grow and then oscillate in the way that our simple dynamics predict, because the electron is scattered by some departure of the lattice from perfect periodicity. The two most important mechanisms that limit the magnitude the current attains in a particular field are scattering by lattice vibrations and scattering by impurities. The topic of the interaction of Bloch electrons with phonons is a major part of the theory of solids, and Chapter 6 is devoted to a discussion of such processes. The theory of alloys, in which the problem is to calculate the properties of partially disordered systems, is also a topic of some importance.

171

4.7 Scattering by impurities

For the present, however, we shall just consider the problem of a single impurity center in an otherwise periodic lattice. This avoids the statistical problems of the theory of alloys, but still allows us to formulate an expression for the probability per unit time that an electron is scattered from one Bloch state to another. We shall then have all the ingredients we need for the formulation of a simple theory of the conductivity of metals. The customary approach to the scattering theory of a free particle involves the expansion of the wavefunction in spherical harmonics and the discussion of such quantities as phase shifts and cross sections. This approach is not so useful for Bloch electrons because of the reduced symmetry of the problem when the lattice potential is present. Instead we consider an electron initially in some Bloch state, k , and then apply the perturbing potential, U. The wavefunction will then be transformed into some new function, k . We interpret the scattering probability between the two Bloch states, k and k 0 , as being proportional to the amount of k 0 contained in k . That is, we form the integral hk 0 j k i to measure the amplitude that tells us how much of the state that was originally k has been transformed to k 0 . The square of the modulus of this quantity will then be proportional to the probability Qðk; k 0 Þ that in unit time an electron is scattered between these states, i.e., Qðk; k 0 Þ / jhk 0 j

2 k ij :

We may use the starting point of perturbation theory to rewrite this expression in a more useful form. We first write H0 k ¼ E k k and ðH0 þ UÞ

k

¼ Ek

k;

and note that the perturbed and unperturbed energies will be very close to each other provided no bound states are formed, since the impurity causing U only perturbs a negligible portion of our large volume . We next note that these Schro¨dinger equations are satisfied by j

ki

¼ jk i þ ðE k  H0 þ iÞ1 Uj

ki

when  ! 0. Then because hk 0 jk i vanishes we find Qðk; k 0 Þ / jhk 0 jðE k  H0 þ iÞ1 Uj

2 k ij

¼ ½ðE k  E k 0 Þ2 þ 2 1 jhk 0 jUj

2 k ij :

ð4:7:1Þ

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One-electron theory

Because the scatterer has no internal degrees of freedom in this model the energy of the electron must be conserved, and only elastic scattering can take place. This is expressed by the term in brackets. Since   1 d Ek  Ek 0 2 2 1 0 arctan ½ðE k  E k Þ þ   ¼  dE k  and arctan ½ðE k  E k 0 Þ= becomes a step function as  ! 0, we can interpret the derivative of the step function as a -function. The constant of proportionality can be found from time-dependent perturbation theory, which in lowest order gives the result Qðk; k 0 Þ ’

2 jhk 0 jUjk ij2 ðE k  E k 0 Þ: 0

ð4:7:2Þ

In order for our result to reduce to this when the potential is weak so that k may be replaced by k we must choose the same constant of proportionality, and write Qðk; k 0 Þ ¼

2 jhk 0 jUj 0

k ij

2

ðE k  E k 0 Þ:

ð4:7:3Þ

The approximation (4.7.2) is known as the Born approximatiom, and may be thought of as neglecting multiple scattering by the impurity. The exact formula (4.7.3) might be rewritten by repeatedly substituting for from (4.7.1). We should then have a series of terms in which U appeared once, twice, three times, and so on. These could be interpreted as single, double, triple, and higher-order scattering by the impurity (Fig. 4.7.1). It is sometimes useful to ask what the potential T would be that, if the Born approximation were exact, would give the scattering predicted by (4.7.3) for the potential U. That is, we ask for the operator T such that hk 0 jUj

ki

¼ hk 0 jTjk i:

This operator is known as the transition matrix (or sometimes just as the T-matrix), and does not in general have the form of a simple potential. It can be seen from (4.7.1) that T ¼ U þ U½E  H0 þ i1 T: Also ½E  H0 þ i1 T ¼ ½E  H þ i1 U;

4.7 Scattering by impurities

173

Figure 4.7.1. The Born approximation is a result of first-order perturbation theory, and can be diagrammaticaliy represented as a single scattering event (a). The Tmatrix includes multiple scattering (b).

as may be seen by operating on both sides with [E  H þ i]. Thus T ¼ U þ U½E  H þ i1 U: Since the potential U is real, the only difference between T and its Hermitian conjugate Ty will be that the term i will be replaced by i. We could thus have equally well used Ty in calculating Qðk; k 0 Þ. But since by the definition of the Hermitian conjugate hk 0 jTjk i* ¼ hk jTyjk 0 i we see that the scattering probability must be the same in either direction, and Qðk; k 0 Þ ¼ Qðk 0 ; kÞ:

ð4:7:4Þ

We could also argue this from the starting point of the principle of microreversibility, which states that the transition probability will be unaffected by time reversal. The time reversal of the state k will be k , and so Qðk; k 0 Þ ¼ Qðk 0 ; kÞ:

ð4:7:5Þ

However, k ¼ *k , as can be seen from the Schro¨dinger equation in the form (4.1.4), and we do not expect a real transition probability to depend on our convention as to complex numbers. We thus deduce (4.7.4) to be a consequence of (4.7.5). We also note that the perturbation of the electron wavefunctions changes the density of electrons, and hence of electric charge, in the vicinity of an

174

One-electron theory

impurity in a metal. If the impurity represents an added electric charge the change in electron density will screen the field of the impurity. One can thus equate the excess charge of the impurity with the excess charge of the electrons that are in the process of being scattered. The formulation of this concept is rather complicated for Bloch electrons, but reduces to a simple form for free electrons, where it is known as the Friedel sum rule. It is a useful condition that all models of impurity potentials must approximately satisfy. 4.8 Quasicrystals and glasses Our study of band structure so far has been built on the concept of the Bloch waves that we have proved to exist in perfectly periodic structures. In the real world, however, nothing is perfectly periodic, and so we should ask ourselves what the consequences are of deviations from perfect periodicity. In Chapter 6 we shall look at the effect of the weak deviations from perfect order that are introduced by phonons. There we shall see that this type of motion in a threedimensional crystal does not destroy the long-range order. That is to say, when X-rays or neutrons are scattered by a thermally vibrating three-dimensional lattice there will still be sharp Bragg peaks, although in one or two dimensions this would not be the case. We now look at some other systems that lack perfect order, and examine whether the concept of band gaps will survive. The first of these is a remarkable family of structures known as quasicrystals. These are a form of not-quite-crystalline solid that was discovered experimentally as recently as 1984, although similar structures had been studied as mathematical constructs much earlier. An example of a quasicrystal in two dimensions is given in Fig. 4.8.1. It clearly depicts an ordered array, but closer inspection shows it not to be a Bravais lattice. The telltale sign is the fact that it has a five-fold rotational symmetry. This is forbidden for Bravais lattices in two dimensions, as one cannot completely cover a plane using pentagonal tiles. One can, however, tile a plane using two types of diamond-shaped Penrose tile, one of which has an acute angle of =5, the other tile having an angle of 2=5 (Fig. 4.8.2). In three dimensions the task becomes much harder to accomplish, and nearly impossible to illustrate. Nevertheless, experiment shows that if a molten mixture of aluminum and manganese in an atomic ratio of 4 : 1 is cooled ultrarapidly ( 1 megakelvin/second!) then small pieces of solid are produced that give diffraction patterns having the five-fold symmetry characteristic of an icosahedron. These materials are thus clearly not crystalline (this is deduced from the five-fold symmetry) but do have long-range order (deduced from the existence of sharp Bragg peaks).

4.8 Quasicrystals and glasses

175

Figure 4.8.1. A quasicrystal in two dimensions.

Figure 4.8.2. Two types of tile can cover a plane with quasicrystalline symmetry.

Figure 4.8.3. A Fibonacci chain is built from atoms separated by either long or short spacers placed in a special order.

We can gain some insight into the nature of quasicrystals by looking at the one-dimensional chain of atoms shown in Fig. 4.8.3. The spacing between atoms is either long (L) or short (S), with L=S an irrational number. If the arrangement of L and S spacings were random, then the chain would have no long-range order, and would give rise to no sharp Bragg diffraction peaks.

176

One-electron theory

But it is not random. It is a Fibonacci chain, built according to the following prescription. We start with a single spacing S, and then repeatedly apply the operation that each S is turned into L and each L is turned into the pair LS. In this way S ! L ! LS ! LSL ! LSLLS ! LSLLSLSL and pffiffi so on. (An 1 important special case occurs when L=S ¼ 2 cosð=5Þ ¼ 2 ð1 þ 5Þ, a number known as the golden mean.) Although this sequence does not at first sight appear to have any long-range order, one can, with the aid of some ingenious arguments, calculate the Fourier transform of the atomic density exactly. One finds that there are large, sharp, Bragg peaks at various wavenumbers. The chain is clearly not periodic in the sense of a Bravais lattice, but it does have some sort of long-range order. Evidently there are some hidden repeat lengths that are disguised by local deviations from periodicity. An invisible hand is placing the L and S segments in just such a way as to retain the Bragg peaks. We find a clue to what is happening by looking at a strip cut from a true Bravais lattice in a higher dimension. In Fig. 4.8.4 we see a square lattice across which two parallel lines have been drawn with a slope equal to the reciprocal of the golden mean and passing through the opposite corners of one unit cell. We then project all the lattice points included in this strip onto the lower line to form a one-dimensional array. This array turns out to be precisely the special-case Fibonacci chain. We have thus made a connection

Figure 4.8.4. The Fibonacci chain also appears as a projection of a regular square lattice.

4.8 Quasicrystals and glasses

177

between a quasiperiodic array in one dimension and a Bravais lattice in a higher dimension. This idea may be extended to show that five-fold rotational symmetry may be found in spaces of six or more dimensions. In particular, icosahedral symmetry may be found in a cubic lattice in six dimensions. An icosahedron has 20 identical faces, each of which is an equilateral triangle. Five of these faces meet at each of the 12 vertices, and so there are six five-fold symmetry axes. This symmetry is clearly seen experimentally in single grains of some quasicrystals which form beautiful structures resembling five-petaled flowers. It is truly remarkable that this obscure crystallographic niche is actually occupied by real materials. In one dimension, the existence of sharp Bragg peaks will always lead to gaps in the electronic density of states, but in three dimensions this is not assured. Thus the density of states for electrons in the potential due to a Fibonacci chain of atoms will always have band gaps. These chains would then be good insulators if there were two electrons per atom. In three dimensions the long-range order characteristic of quasicrystals will not necessarily cause gaps in the density of states, so that even if the number of electrons were two per atom, the material might still be a metallic conductor. As we moved from considering crystalline lattices to the less-ordered quasicrystals, we have found that the continued existence of long-range order was the factor that made plausible the sustained presence of band gaps. If we move further in this direction we find amorphous or glassy solids, in which no long-range order remains. The structure factor revealed by X-ray scattering shows no sharp peaks, but only broad maxima. Surely these materials should not have band gaps in their electronic density of states? Surprisingly, band gaps persist in amorphous materials. In silicon, the effective band gap is even greater in amorphous material than it is in a crystal. It was only in 1966 that a demonstration was given of how band gaps could be proved to persist in one simple model of an amorphous solid. In this model the potential has the muffin-tin form, in which identical spherically symmetric attractive potential wells are separated by regions of constant potential V0 . No two wells overlap or have their centers closer together than a distance we define as 2 . We consider the real wavefunction describing an eigenstate of energy E < V0 . In units in which 0 ¼ 2m ¼ 1, the Schro¨dinger equation is r2 If we multiply by

¼ ðV  EÞ :

ð4:8:1Þ

and integrate over the volume of the container we find ð ð4:8:2Þ fðV  EÞ 2 þ ðr Þ2 g d ¼ 0;

178

One-electron theory

provided is equal to zero over the surface of the box. Let us define a cell as the region closer to one particular well than to any other (this is sometimes known as a Voronoy polyhedron). Then we can certainly find a cell such that ð fðV  EÞ 2 þ ðr Þ2 g d  0 ð4:8:3Þ cell

when the integrations are confined to the volume of the cell. Because both parts of the integrand are positive at distances greater than from the center of the well the integral will furthermore be negative when the integration is restricted to a sphere of radius . If S is the surface of this sphere it then follows that ð r
dS < 0: ð4:8:4Þ S

Taking spherical polar coordinates with the center of this well as the origin, we expand in spherical harmonics, writing X ¼ cl;m Yl;m ð; ÞRl ðrÞ ð4:8:5Þ l;m

and substitute in the inequality to obtain X l;m

c2l;m

d fR ðrÞg2 jr¼ < 0: dr l

ð4:8:6Þ

If this inequality holds for the sum of terms, it must also be true for at least one term of the sum, and so an l must exist for which d fR ðrÞg2 jr¼ < 0: dr l

ð4:8:7Þ

If there are bands of energy for which no l can be found such that this inequality is satisfied, then the existence of gaps in the density of states is proved. The presence of band gaps in the electronic structure is central to many of the most important properties of solids. It is thus satisfying that we can calculate band structures and band gaps in a variety of structures provided that the one-electron model is a satisfactory approximation. Our next step must be a more careful look at this assumption, and an exploration of the elegant analysis with which it can be justified.

Problems

179

Problems 4.1 In sandwichium metal the lattice potential is 2V cos gx. Investigate, in the nearly-free-electron model, the electron velocity in the neighborhood of the point (g=2; 0; 0) in reciprocal space. 4.2 Investigate qualitatively the density of states of the sandwichium defined in Problem 4.1 in the regions near E ¼ 02 g2 =8m  V, and sketch the overall density of states. 4.3 Another type of sandwichium has a lattice potential VðrÞ ¼

1 X

Va ðx  naÞ:

n¼1

Investigate its band structure in the nearly-free-electron model, using two plane waves. 4.4 Apply the nearly-free-electron approach using four plane waves to the band structure of a two-dimensional crystal whose lattice potential is VðrÞ ¼ 2V½cos gx þ cos gy: Under what conditions will this crystal be an insulator if there are two electrons per ‘‘atom’’? (An ‘‘atom’’ is assumed to occupy one unit cell of dimensions 2=g  2=g.) 4.5 What are the possible forms of the inverse-effective-mass tensor in the model of Problem 4.4 at the point (12 g; 12 gÞ in k-space? 4.6 In the Kronig–Penney model a one-dimensional electron moves in a potential VðxÞ ¼ 

1 X

Va ðx  naÞ:

n¼1

Contrast the exact solution for the width of the lowest band with that given by the method of tight binding when V is very large. Assume overlap only of nearest neighbors in the tight-binding approach.

180

One-electron theory

4.7 Examine the inverse effective mass of the states at the bottom of the third band of the model in Problem 4.6, again assuming V to be large. Solve this problem in the following ways. (1) Exactly. (2) In the two-plane-wave NFE approximation. (3) In the OPW method, treating the first band as core states in the tight-binding approximation. [Use two OPW’s, and neglect the kdependence of E kc – i.e., take E kc as the energy of the ‘‘atomic’’ bound state.] 4.8 Evaluate the Korringa–Kohn–Rostoker Gk ðr  r 0 ) for the sandwichium Ð of Problem 4.1. [Hint: C cosec zf ðzÞ dz may be a helpful integral to consider.] 4.9 Calculate an approximate value for the energy discontinuity and effective inverse masses in the neighborhood of k ¼ ðg; 0; 0Þ in sandwichium by using the nearly-free-electron approximation with three plane waves. 4.10 Draw the Jones zone for a square lattice of side a with four identical atoms in each cell at the points ða=8; a=8) and ð3a=8; 3a=8Þ. 4.11 In the limit of vanishingly small size of an orbit the cylotron mass m* and the inverse-effective-mass tensor (M 1 Þij are related. What is this relationship between m*, (M 1 ), and the direction x^ of the applied magnetic field? [It is helpful to consider the area A of an orbit, and its variation with energy, dA=dE.] 4.12 A magnetic field is applied in the z-direction to sandwichium. How, qualitatively, does m* vary for orbits with kz ¼ 0 as E ! E g  V? 4.13 A Bloch electron in sandwichium is scattered from (kx ; ky ; kz Þ to (kx ; ky ; kz ) by the potential U exp ½ðgr=4Þ2 ]. Investigate qualitatively how the transition probability for this process varies with kx . [Use the Born approximation for Qðk; k 0 Þ and the two-plane-wave approximation for k and k 0 . Sketch the variation of Q as kx varies from 0 to 12 g.] 4.14 When the Coulomb interaction is included in the Hamiltonian of an insulator it becomes possible for an electron in the conduction band and a hole in the valence band to form a bound state together; this elementary excitation of the crystal is known as an exciton. In the

Problems

181

simple model of an insulator in which the lattice potential is 2Vðcos gx þ cos gy þ cos gz) such a state can be formed if we allow an interaction e2 =jre  rh j to exist between the electron and hole states at the corner of the first Brillouin zone. Investigate the possible energies of such an excitation by solving a Schro¨dinger equation analogous to that describing a hydrogen atom, but in which the proton and electron are replaced by an electron and a hole having the appropriate effective masses. 4.15 Verify that the constant a of Section 4.5 vanishes, as claimed in the sentence preceding Eq. (4.5.1). 4.16 In the model illustrated in Fig. 4.5.3 it was shown that spin–orbit coupling introduces energy discontinuities at the zone boundaries shown as dashed lines in Fig. 4.5.4. Does (a) the mass–velocity term or (b) the Darwin term cause a similar effect?

Chapter 5 Density functional theory

5.1 The Hohenberg–Kohn theorem In Chapter 2 we explored some of the consequences of electron–electron interactions, albeit in some simple perturbative approaches and within the random phase approximation. There we found that the problem of treating these interactions is exceedingly difficult, even in the case where there is no external one-particle potential applied to the system. We have also explored some of the properties of noninteracting electrons in an external potential, in this case the periodic lattice potential. This led to the concepts of electron bands and band structure, subjects of fundamental importance in understanding the physics of metals, insulators, and semiconductors. Of course, in the real world, electrons in matter are subjected both to electron–electron interactions and to external potentials. How to include systematically and correctly the electron–electron interactions in calculations of real systems is truly a formidable problem. Why that is so is easily demonstrated. Suppose that we want to solve the problem of N electrons interacting in some external potential. The N-electron wavefunction can be expanded in Slater determinants of some suitable singleparticle basis such as plane waves. We can describe the Slater determinants by occupation numbers in our second-quantized notation. Suppose furthermore that we have a basis of a total of Nk plane wave states at our disposal. Here Nk must be large enough that all reasonable ‘‘wiggles’’ of the manybody wavefunction can be included. The size of our Hilbert space and hence the size of the Hamiltonian matrix to be diagonalized can then be found by using combinatorics: the size of the Hilbert space is given by the number of ways that we can put N ‘‘balls’’ in Nk ‘‘boxes,’’ with only one ball per box. This number is a binomial factor, Nk !=N!ðNk  NÞ!, which has the unfortunate property that it grows factorially. Careful use of symmetry may 182

5.1 The Hohenberg–Kohn theorem

183

help us reduce the size of the Hamiltonian by a factor of ten or so, and the increasing power of computers allows us to consider ever-larger systems, but it remains stubbornly the case that current state-of-the-art exact numerical diagonalizations have difficulty handling more than a few tens of electrons. Also, even though the computer power at our disposal grows exponentially with time, the size of the Hilbert space of our N-electron problem grows much faster than exponentially with N. We may therefore, somewhat pessimistically, conclude that we may never have enough computer resources available to solve a problem with a macroscopic number of electrons. This draws attention to the urgent need for some alternative way to include electron–electron interactions in our calculations. Virtually the only way to do so in realistic calculations is provided by density functional theory (DFT). Since its formulation in the mid 1960s and early 1970s, DFT has been used extensively in condensed matter physics in almost all band-structure and electronic structure calculations. It has also been widely adopted in the quantum chemistry community, and has led to a computational revolution in that area. Density functional theory was conceived by Walter Kohn, who also led many of the successive developments in this field. What makes density functional theory so powerful to use is a deceptively simple-looking theorem, the Hohenberg–Kohn theorem, which has profound implications. This theorem allows for the systematic formulation of a manybody problem – interacting electrons in an external potential – in terms of the electron density as the basic variable. It is worth spending a moment to reflect on this. Consider the Schro¨dinger equation for N interacting electrons. This is a differential equation for a complex quantity, the Schro¨dinger wavefunction, which in three dimensions is a function of 3N variables. This large number makes it impractical to solve even for just the ground-state wavefunction, which will generally be insufficient, as we also need information about the excited states. Finally, the physical quantities in which we are interested have to be extracted from the wavefunctions that we have laboriously obtained. This in itself may be technically very difficult. It is clear that if we can instead work with just the electron density as the basic variable, this will lead to an enormous simplification, since the density of a three-dimensional system is a scalar field of only three variables. What is truly remarkable is, as we shall see, that all physical properties of the system can in principle be determined with knowledge only of the ground-state density! That is precisely the statement of the Hohenberg– Kohn theorem, as we now prove for systems with nondegenerate ground states.

184

Density functional theory

Let H ¼ T þ Vext þ V be the nonrelativistic, time-independent Hamiltonian of a system of N electrons. Here, T is the kinetic energy, Vext is an external potential which couples to the density (an example being that from the nuclei in a solid), and V is the two-body electron–electron interaction (usually the Coulomb interaction). In second-quantized notation we write H¼

X X 02 k2 y 1 X Vext ðqÞcyk;s ckþq;s þ Vq cykq;s cyk 0 þq;s 0 ck 0 ;s 0 ck;s : c k;s ck;s þ 2 2m 0 k;s k;q;s k;k ;q;s;s 0

The Hohenberg–Kohn theorem then states that the expectation value O of any operator O is a unique functional O½n0 ðrÞ of the ground-state density n0 ðrÞ, by which we mean that the value of O depends on the value of n0 ðrÞ at all points r. What does this imply? Well, we already know that if we could solve the Schro¨dinger equation for the Hamiltonian H and find all the many-body eigenstates  , we could then calculate the expectation value of any operator. The Hamiltonian therefore determines the expectation value of any operator, and, in particular, the Hamiltonian determines the ground-state density, since this is just the ground-state expectation value of the density operator. We can be even more specific: since the kinetic energy operator T and the interaction V are universal, meaning that they are the same for all nonrelativistic interacting N-electron systems, it is really only the external potential Vext that characterizes the Hamiltonian, and thus the eigenstates and the ground-state density. This is straightforward. What the Hohenberg–Kohn theorem states is that this mapping from external potential to ground-state density is invertible. Given any density nðrÞ, which is specified to be the ground-state density for some N-electron system, the Hamiltonian of that system is then uniquely determined, and so then are all the eigenstates and the expectation value of any operator. So with knowledge of only the ground-state density of an N-electron system, we can (in principle, at least) determine everything about that system, including excited states, excitation energies, transport properties, etc. The proof of this theorem is simple. We first show that two potentials, Vext 0 and Vext , that differ by more than a trivial constant (a constant is unimportant since we can always shift the reference point of the potential energy),

5.1 The Hohenberg–Kohn theorem

185

necessarily lead to different ground states 0 and 00 . The Schro¨dinger equations for 0 and for 00 are ðT þ V þ Vext Þ0 ¼ E 0 0

ð5:1:1Þ

0 Þ00 ¼ E 00 00 ; ðT þ V þ Vext

ð5:1:2Þ

where E 0 and E 00 are the respective ground-state energies. We prove the first part of the theorem by contradiction. Suppose now that 0 and 00 are the same. We then subtract Eq. (5.1.1) from Eq. (5.1.2) to obtain 0 Þ0 ¼ ðE 0  E 00 Þ0 : ðVext  Vext

But E 0 and E 00 are just real numbers, so this means that the two potentials Vext 0 and Vext can differ at most by a constant, in contradiction to our hypothesis. 0 We have thus shown that if Vext 6¼ Vext then 0 6¼ 00 . At this point we pause to note the relation between n0 ðrÞ, Vext ðrÞ, and h0 jVext j0 i. We recall that ð N X n0 ðrÞ ¼ *0 ðr1 ; r2 ; . . .Þ ðr  ri Þ 0 ðr1 ; r2 ; . . .Þ dr1 ; dr2 ; . . . ; i

which allows us to write h0 jVext j0 i ð N X Vext ðri Þ 0 ðr1 ; r2 ; . . .Þ dr1 ; dr2 ; . . . ; drN ¼ *0 ðr1 ; r2 ; . . .Þ i

ð

¼ *0 ðr1 ; r2 ; . . .Þ ð

N X

ðrp  ri ÞVext ðrp Þ 0 ðr1 ; r2 ; . . .Þ dr1 ; dr2 ; . . . ; drN ; drp

i

¼ n0 ðrÞVext ðrÞ dr: 0 Now we can prove that if Vext 6¼ Vext (so that consequently 0 6¼ 00 ), then we 0 6 n0 ðrÞ. Again, we prove this assertion by contradiction. must also have n0 ðrÞ ¼ Assume that n0 ðrÞ ¼ n00 ðrÞ, and that H and H 0 are the two Hamiltonians 0 , respectively. According to the Rayleigh– corresponding to Vext and Vext Ritz variational principle, we have

E 0 ¼ h0 jHj0 i < h00 jHj00 i;

186

Density functional theory

and h00 jHj00 i

¼

h00 jH 0

þ Vext 

0 Vext j00 i

¼

E 00

ð

0 þ n00 ðrÞ½Vext ðrÞ  Vext ðrÞ dr;

so that E0
0. The matrix element M is a constant and M 2 ¼ G=N, with N the number of atoms. Find a condition on the magnitude of G in terms of W, A, and B in order for the phonon energy at q ¼ =a to be reduced to zero. 6.8 Why doesn’t benzene dimerize? (a) Consider a periodic polyacetylene chain of six monomers with lattice spacing a, and evaluate the perturbed frequency of the phonon of wavelength 2a. Determine the condition for this frequency to vanish when the Hamiltonian is X X y X y E k c k ck þ 0!q ayq aq þ M ðaq þ aq Þcyk ck 0 H¼ k

q

k;k 0

with q ¼ k  k 0 , M ¼ constant, E k ¼ Að1  cos kaÞ, and 0!q ¼ W sin ðqa=2Þ. (b) In a completely different approach, calculate the total energy, E elastic þ E electronic , of a static periodic polyacetylene chain of six monomers with periodic boundary conditions. The distance between adjacent monomers alternates between a þ u and a  u. The Hookian spring constant for a single monomer–monomer bond is K. The electronic energy E k is given by Eq. (4.3.2) with g ¼ =a and Vg ¼ u. Find the condition for  in terms of K; 0; m, and a for dimerization to be energetically favored. 6.9 A hydrogen atom may be absorbed into an interstitial position in palladium with evolution of energy E s . Make an order-of-magnitude estimate of the amount by which E s is altered by the vibrational motion of the hydrogen. [Hint: Consider the atom as a three-dimensional harmonic oscillator of frequency !0 moving in a free-electron gas of Fermi energy E F and carrying its potential Va ðrÞ rigidly with it. Calculate to second order in the electron-vibration interaction in analogy with the treatment of the electron–phonon interaction of Section 6.1.] 6.10 Find a condition for the minimum value of the electron density in a metal by requiring that the expression (6.6.7) for the phonon frequency be real.

Chapter 7 Superconductivity

7.1 The superconducting state The discovery, in Section 6.5, of an attractive interaction between electrons in a metal has mentally prepared us for the existence of a phase transition in the electron gas at low temperatures. It would, however, never have prepared us to expect a phenomenon as startling and varied as superconductivity if we were not already familiar with the experimental evidence. The ability to pass an electrical current without any measurable resistance has now been found in a wide range of types of material, including simple elements like mercury, metallic alloys, organic salts containing five- or six-membered rings of carbon and sulfur atoms, and ceramic oxides containing planes of copper and oxygen atoms. In this chapter we shall concentrate mainly on the simplest type of superconductor, typified by elements such as tin, zinc, or aluminum. The organic superconductors and the ceramic oxides have properties that are so anisotropic that the theories developed to treat elemental materials are not applicable. Accordingly, with the exception of the final Section 7.11, the discussion that follows in this chapter applies only to the classic low-temperature superconductors. Some of the properties of these materials are shown in Fig. 7.1.1, in which the resistivity,
, specific heat, C, and damping coefficient for phonons, , are plotted as functions of temperature for a typical superconductor. At the transition temperature, Tc , a second-order phase transition occurs, the most spectacular consequence being the apparent total disappearance of resistance to weak steady electric currents. The contribution of the electrons to the specific heat is found no longer to be proportional to the absolute temperature, as it is in normal (i.e., nonsuperconducting) metals and in superconductors when T > Tc , but to vary at the lowest temperatures as 232

7.1 The superconducting state

233

Figure 7.1.1. The resistivity
, the electronic specific heat C, and the coefficient of attenuation for sound waves all change sharply as the temperature is lowered through the transition temperature Tc .

e

=kT , with
an energy of the order of kTc . This leads one to suppose that there is an energy gap in the excitation spectrum – an idea that is confirmed by the absorption spectrum for electromagnetic radiation. Only when the energy 0! of the incident photons is greater than about 2
does absorption occur, which suggests that the excitations that give the exponential specific heat are created in pairs. A rod-shaped sample of superconductor held parallel to a weak applied magnetic field H0 has the property that the field can penetrate only a short distance  into the sample. Beyond this distance, which is known as the penetration depth and is typically of the order of 10
5 cm, the field decays rapidly to zero. This is known as the Meissner effect and is sometimes thought of as ‘‘perfect diamagnetism.’’ This rather misleading term refers to the fact that if the magnetic moment of the rod were not due to currents flowing in the surface layers (the true situation) but were instead the consequence of a uniform magnetization, then the magnetic susceptibility would have to be
1=4, which is the most negative value thermodynamically permissible. If the strength of the applied field is increased the superconductivity is eventually destroyed, and this can happen in two ways. In a type I superconductor the whole rod becomes normal at an applied field Hc , and then the magnetic field B in the interior of a large sample changes from zero to a value close to H0 (Fig. 7.1.2(a)). In a type II superconductor, on the other hand, although the magnetic field starts to penetrate the sample at an applied field, Hc1 , it is not until a greater field, Hc2 , is reached, that B approaches H0 within the rod, and a thin surface layer may remain superconducting up to a yet higher field, Hc3 (Fig. 7.1.2(b)). For applied fields between Hc1 and Hc2

234

Superconductivity

Figure 7.1.2(a). A magnetic field H0 applied parallel to a large rod-shaped sample of a type I superconductor is completely excluded from the interior of the specimen when H0 < Hc , the critical field, and completely penetrates the sample when H0 > Hc .

Figure 7.1.2(b). In a type II superconductor there is a partial penetration of the magnetic field into the sample when H0 lies between the field values Hc1 and Hc2 . Small surface supercurrents may still flow up to an applied field Hc3 .

235

7.2 The BCS Hamiltonian

the sample is in a mixed state consisting of superconductor penetrated by threads of the material in its normal phase. These filaments form a regular two-dimensional array in the plane perpendicular to H0 . In many cases it is found possible to predict whether a superconductor will be of type I or II from measurements of
and . One defines a coherence length 0 equal to 0vF =
with vF the Fermi velocity. (This length is of the order of magnitude of E F =
times a lattice spacing.) It is those superconductors for which   0 that tend to exhibit properties of type II.

7.2 The BCS Hamiltonian The existence of such an obvious phase transition as that involved in superconductivity led to a long search for a mechanism that would lead to an attractive interaction between electrons. Convincing evidence that the electron–phonon interaction was indeed the mechanism responsible was provided with the discovery of the isotope effect, when it was found that for some metals the transition temperature Tc was dependent on the mass A of the nucleus. For the elements first measured it appeared that Tc was proportional to A
1=2 , and hence to the Debye temperature . More recent measurements have shown a wider variety of power laws, varying from an almost complete absence of an isotope effect in osmium to a dependence of the approximate form Tc / A2 in -uranium. It is accordingly reasonable to turn to the Fro¨hlich electron–phonon Hamiltonian discussed in the preceding chapter as a simple model of a system that might exhibit superconductivity. The canonical transformation of Section 6.5 allowed us to write the Hamiltonian in the form of Eq. (6.5.4), which states that H 0 ¼ H0 þ

X k;s;k

0

y

y

Wkk 0 q ck 0 þq;s 0 c k
q;s ck;s ck 0 ;s 0 :

ð7:2:1Þ

;s 0 ;q

Here H0 was the Hamiltonian of the noninteracting system of electrons and phonons, and Wkk 0 q was a matrix element of the form Wkk 0 q ¼

jMq j2 0!q ðE k
E k
q Þ2
ð0!q Þ2

:

ð7:2:2Þ

The spin s of the electrons has also been explicitly included in this transformed Hamiltonian. Because this interaction represents an attractive force between electrons, we do not expect perturbation theory to be useful in finding the eigenstates of

236

Superconductivity

a Hamiltonian like Eq. (7.2.1). In fact, an infinitesimal attraction can change the entire character of the ground state in a way not accessible to perturbation theory. We could now turn to a variational approach, in which we make a brilliant guess at the form the correct wavefunction ji will take, and then pull and push at it until the expectation value hjH 0 ji is minimized. This is the approach that Bardeen, Cooper, and Schrieffer originally took, and is described in their classic paper of 1957. We shall take a slightly different route to the same result, and turn for inspiration to the only problem that we have yet attempted without using perturbation theory – the Bogoliubov theory of helium discussed in Section 3.4. The starting point of the Bogoliubov theory was the assumption of the existence of a condensate of particles having zero momentum. This led to the approximate Hamiltonian (3.4.1) in which the interactions that took place involved the scattering of pairs of particles of equal but opposite momentum. Now we can consider the superconducting electron system as being in some sort of condensed phase, and it thus becomes reasonable to make the hypothesis that in the superconductivity problem the scattering of pairs of electrons having equal but opposite momentum will be similarly important. We refer to these as Cooper pairs, and accordingly retain from the interaction in Eq. (7.2.1) only those terms for which k ¼
k 0 ; in this way we find a reduced Hamiltonian HBCS ¼

X

y

E k cks cks
12

ks

X

y

y

Vkk 0 ck 0 s 0 c
k 0 s c
ks cks 0

ð7:2:3Þ

kk 0 s

where in the notation of Eq. (7.2.2) Vkk 0 ¼
2W
k;k;k 0
k
Ukk 0 with Ukk 0 a screened Coulomb repulsion term which we add to the Fro¨hlich Hamiltonian. A positive value of Vkk 0 thus corresponds to a net attractive interaction between electrons. One other question that must be answered before we attempt to diagonalize the Hamiltonian HBCS concerns the spins of the electrons: do we pair electrons of like spin (so that in Eq. (7.2.3) we put s ¼ s 0 ) or of opposite spin? The answer is that to minimize the ground-state energy it appears that we must pair electrons of opposite spin. We shall assume this to be the case, and leave it as a challenge to the sceptical reader to find a wavefunction that leads to a lower expectation value of Eq. (7.2.3) with s ¼ s 0 than we shall find when s and s 0 represent spins in opposite directions. With this assumption we can

7.3 The Bogoliubov–Valatin transformation

237

perform the sum over s in Eq. (7.2.3). Since X

y

y

y

y

y

y

y

y

y

c k 0 s 0 c
k 0 s c
ks cks 0 ¼ ck 0 # c
k 0 " c
k" ck# þ c k 0 " c
k 0 # c
k# ck"

s y

¼ ck 0 # c
k 0 " c
k" ck# þ c
k 0 # ck 0 " ck" c
k# and Vkk 0 ¼ V
k;
k 0 the summation over s is equivalent to a factor of 2. This allows us to abbreviate further the notation of Eq. (7.2.3) by adopting the convention that an operator written with an explicit minus sign in the subscript refers to a spin-down state while an operator without a minus sign refers to a spin-up state. Thus cyk 0  cyk 0 " ;

cy
k 0  cyð
k 0 Þ# ; etc:

We then have HBCS ¼

X

y

y

E k ðc k ck þ c
k c
k Þ


k

X k;k

y

y

Vkk 0 c k 0 c
k 0 c
k ck :

ð7:2:4Þ

0

This is the model Hamiltonian of Bardeen, Cooper, and Schrieffer, of which the eigenstates and eigenvalues must now be explored.

7.3 The Bogoliubov–Valatin transformation In the Bogoliubov theory of helium described in Section 3.4 it was found to be possible to diagonalize a Hamiltonian that contained scattering terms like y y ak a
k by means of a transformation to new operators k ¼ ðcosh k Þak
ðsinh k Þay
k : y

The k and their conjugates k were found to have the commutation relations of boson operators, and allowed an exact solution of the model Hamiltonian (3.4.1). This suggests that we try a similar transformation for the fermion problem posed by HBCS , and so we define two new operators

k ¼ uk ck
vk cy
k ;

y


k ¼ uk c
k þ vk ck

ð7:3:1Þ

y
k ¼ uk cy
k þ vk ck :

ð7:3:2Þ

with conjugates y

y

k ¼ uk c k
vk c
k ;

238

Superconductivity

The constants uk and vk are chosen to be real and positive and to obey the condition u2k þ v2k ¼ 1 in order that the new operators have the fermion anticommutation relations y

f k ; k 0 g ¼ f k ;
k 0 g ¼ f k ;
k 0 g ¼ 0 y

f k ; k 0 g ¼ f y
k ;
k 0 g ¼ kk 0 ; as was verified in Problem 2.4. Equations (7.3.1) and (7.3.2) comprise the Bogoliubov–Valatin transformation, which allows us to write the BCS Hamiltonian in terms of new operators. We do not expect to be able to diagonalize HBCS completely, as this Hamiltonian contains terms involving products of four electron operators, and is intrinsically more difficult than Eq. (3.4.1); we do, however, hope that a suitable choice of uk and vk will allow the elimination of the most troublesome off-diagonal terms. We rewrite the BCS Hamiltonian by first forming the inverse transformations to Eqs. (7.3.1) and (7.3.2). These are ck ¼ uk k þ vk y
k ; y

y

ck ¼ uk k þ vk
k ;

y

c
k ¼ uk
k
vk k

ð7:3:3Þ

cy
k ¼ uk y
k
vk k :

ð7:3:4Þ

The first part of Eq. (7.2.4) represents the kinetic energy HT , and on substitution from Eqs. (7.3.3) and (7.3.4) is given by X y y HT ¼ E k ½u2k k k þ v2k
k y
k þ uk vk ð k y
k þ
k k Þ k y

y

þ v2k k k þ u2k y
k
k
uk vk ð y
k k þ k
k Þ: The diagonal parts of this expression can be simplified by making use of the anticommutation relations of the ’s and defining a new pair of number operators y

mk ¼ k k ;

m
k ¼ y
k
k :

Then HT ¼

X k

y

E k ½2v2k þ ðu2k
v2k Þðmk þ m
k Þ þ 2uk vk ð k y
k þ
k k Þ:

ð7:3:5Þ

239

7.3 The Bogoliubov–Valatin transformation

We note here the presence of three types of term – a constant, a term containing the number operators mk and m
k , and off-diagonal terms containing the y y product k
k or
k k . The potential energy HV is given by the second part of HBCS and leads to a more complicated expression. We find HV ¼


X k;k 0

y Vkk 0 ðuk 0 ky 0 þ vk 0
k 0 Þðuk 0
k 0
vk 0 k 0 Þ y

 ðuk
k
vk k Þðuk k þ vk y
k Þ X ¼
Vkk 0 ½uk 0 vk 0 uk vk ð1
mk 0
m
k 0 Þð1
mk
m
k Þ k;k 0 y

þ uk 0 vk 0 ð1
mk 0
m
k 0 Þðu2k
v2k Þð
k k þ k y
k Þ þ ðfourth-order off-diagonal termsÞ:

ð7:3:6Þ

We now argue that if we can eliminate the off-diagonal terms in HBCS by ensuring that those in Eq. (7.3.5) are cancelled by those in Eq. (7.3.6), then we shall be left with the Hamiltonian of a system of independent fermions. We first assume that the state of this system of lowest energy has all the occupation numbers mk and m
k equal to zero; this assumption may be verified at a later stage of the calculation. To find the form of the Bogoliubov–Valatin transformation that is appropriate to a superconductor in its ground state we then let all the mk and m
k vanish in Eqs. (7.3.5) and (7.3.6) and stipulate that the sum of off-diagonal terms also vanish. We find X k

y

2E k uk vk ð k y
k þ
k k Þ


X

y

Vkk 0 uk 0 vk 0 ðu2k
v2k Þð k y
k þ
k k Þ

k;k 0

þ ðfourth-order termsÞ ¼ 0:

ð7:3:7Þ

If we make the approximation that the fourth-order terms can be neglected (Problem 7.6) then this reduces to 2E k uk vk
ðu2k
v2k Þ

X

Vkk 0 uk 0 vk 0 ¼ 0:

ð7:3:8Þ

k0

Because uk and vk , being related by the condition that u2k þ v2k ¼ 1, are not independent it becomes convenient to express them in terms of a single variable xk , defined by uk ¼ ð 12
xk Þ1=2 ;

vk ¼ ð 12 þ xk Þ1=2 :

ð7:3:9Þ

240

Superconductivity

Then Eq. (7.3.8) becomes 2E k ð 14
x2k Þ1=2 þ 2xk

X k

0

Vkk 0 ð 14
x2k 0 Þ1=2 ¼ 0:

If we define a new quantity
k by writing X
k ¼ Vkk 0 ð 14
x2k 0 Þ1=2

ð7:3:10Þ

ð7:3:11Þ

k0

then Eq. (7.3.10) leads to the result xk ¼ 

2ðE 2k

Ek : þ
2k Þ1=2

ð7:3:12Þ

Substitution of this expression in Eq. (7.3.11) gives an integral equation for
k of the form
k ¼

1X
k 0 Vkk 0 2 : 2 k0 ðE k 0 þ
2k 0 Þ1=2

ð7:3:13Þ

If Vkk 0 is known then this equation can in principle be solved and resubstituted in Eq. (7.3.12) to give xk . In doing so we once more note that the zero of energy of the electrons must be chosen to be the chemical potential  if the total number of electrons is to be kept constant. To see this we note that X y N¼ ðc k ck þ cy
k c
k Þ k

¼

X

y

½2v2k þ ðu2k
v2k Þðmk þ m
k Þ þ 2uk vk ð k y
k þ
k k Þ;

k

and so the expectation value of N in the ground state of the system is just X 2 hNi ¼ 2vk k

¼

X

ð1 þ 2xk Þ:

ð7:3:14Þ

k

In the absence of interactions hNi ¼

X

2;

k , as illustrated

7.3 The Bogoliubov–Valatin transformation

241

in Fig. 7.3.1(a). This shows that xk is an odd function of E k
 in the noninteracting case, and that if we make sure xk remains an odd function of E k
 in the presence of interactions, then Eq. (7.3.14) tells us that hNi will be unchanged (the energy dependence of the density of states being neglected). We also want the form of xk given by Eq. (7.3.12) to reduce to the free-electron case when Vkk 0 vanishes, and so we choose the negative square root and obtain a form for vk and xk like that shown in Fig. 7.3.1(b). To remind ourselves that E k is measured relative to  we use the symbol E^k ¼ E k
 to rewrite Eq. (7.3.12) as xk ¼


E^k

2ðE^2k þ
2k Þ1=2

:

Figure 7.3.1. In this diagram we compare the form that the functions vk and xk take in a normal metal at zero temperature (a) and in a BCS superconductor (b).

242

Superconductivity

Figure 7.3.2. This simple model for the matrix element of the attractive interaction between electrons was used in the original calculations of Bardeen, Cooper, and Schrieffer.

To make these ideas more explicit we next consider a simple model that allows us to solve the integral equation for
k exactly. The matrix element Vkk 0 has its origin in the electron–phonon interaction, and, as Eq. (7.2.2) indicates, is only attractive when jE^k
E^k 0 j is less than the energy 0!q of the phonon involved. In the simple model first chosen by BCS the matrix element was assumed to be of the form shown in Fig. 7.3.2, in which ( ¼ V if jE^k j < 0!D ð7:3:15Þ Vkk 0 ¼ 0 otherwise; with V a constant and 0!D the Debye energy. It then follows that
k is also a constant, since Eq. (7.3.13) reduces to ð 1 1
k 0 DðE k 0 Þ dE k 0 2 Vkk 0
k ¼ ^ 2
1 ðE k 0 þ
2k 0 Þ1=2 ð 0!D 1
¼ VDðÞ d E^; 1=2 2 ^ 2 2 þ
Þ ð E
0!D the energy density of states DðEÞ here referring to states of one spin only and again being taken as constant. This has the solution
¼

0!D : sinh½1=VDðÞ

ð7:3:16Þ

The magnitude of the product VDðÞ can be estimated by noting that from Eq. (7.2.2) V

jMq j2 0!D

7.4 The ground-state wavefunction and the energy gap

243

and from Eq. (6.1.2) N0k2F jV j2 M!D k m   NjVk j2 M 0!D

jMq j2 

with Vk the Fourier transform of a screened ion potential. Since DðÞ  N= we find that   m NVk 2 VDðÞ  : M 0!D While 0!D might typically be 0.03 eV, the factor NVk is something like the average of the screened ion potential over the unit cell containing the ion, and might have a value of a few electron volts, making ðNVk =0!D Þ2 of the order of 104 . The ratio of electron mass to ion mass, m=M, however, is only of the order of 10
5 , and so it is in most cases reasonable to make the approximation of weak coupling, and replace Eq. (7.3.16) by
¼ 20!D e
1=VDðÞ ;

ð7:3:17Þ

the difference between 2 sinh (10) and e10 being negligible. In strong-coupling superconductors such as mercury or lead, however, the electron–phonon interaction is too strong for such a simplification to be valid; for these metals the rapid damping of the quasiparticle states must also be taken into account. The important fact that this rough calculation tells us is that
is a very small quantity indeed, being generally about one percent of the Debye energy, and hence corresponding to thermal energies at temperatures of the order of 1 K. The parameter xk thus only differs from  12 within this short distance of the Fermi energy and our new operators k and
k reduce to simple electron annihilation or creation operators everywhere except within this thin shell of states containing the Fermi surface.

7.4 The ground-state wavefunction and the energy gap Our first application of the Bogoliubov–Valatin formalism must be an evaluation of the ground-state energy E S of the superconducting system. We hope to find a result that is lower than E N , the energy of the normal system, by some amount which we shall call the condensation energy E c . The

244

Superconductivity

ground-state energy of the BCS state is given by the sum of the expectation values of Eqs. (7.3.5) and (7.3.6) under the conditions that mk ¼ m
k ¼ 0. As we have already eliminated the off-diagonal terms we are only left with the constant terms, and find X X 2E^k v2k
Vkk 0 uk 0 vk 0 uk vk ES ¼ k;k 0

k

¼

X

E^k ð1 þ 2xk Þ


X k;k 0

k

Vkk 0 ½ð 14
x2k 0 Þð 14
x2k Þ1=2 :

ð7:4:1Þ

It is interesting to pause at this point and note that we could have considered the BCS Hamiltonian from a variational point of view. Instead of eliminating the off-diagonal elements of HBCS we could have decided to choose the xk in such a way as to minimize E S . It is reassuring to see that this approach leads to the same solution as before; if we differentiate Eq. (7.4.1) with respect to xk and equate the result to zero we obtain an equation that is identical with Eq. (7.3.10). We write expression (7.4.1) as X ES ¼ ½E^k ð1 þ 2xk Þ
ð 14
x2k Þ1=2
 k

with xk and
defined as before in Eqs. (7.3.12) and (7.3.11). In the normal system x2k ¼ 14 for all k and so the condensation energy, defined as E S
E N , is X X X E^k ð2xk
1Þ þ E^k ð2xk þ 1Þ
ð14
x2k Þ1=2
Ec ¼ kkF

ð 0!D  ¼ 2DðÞ E^k
0

2

2E^k þ
2 2 2ðE^k þ
2 Þ1=2



d E^k

¼ DðÞfð0!D Þ2
0!D ½ð0!D Þ2 þ
2 1=2 g    1 2 : ¼ ð0!D Þ DðÞ 1
coth VDðÞ In the weak-coupling case this becomes E c ’
2ð0!D Þ2 DðÞe
2=VDðÞ ¼
12 DðÞ
2 :

ð7:4:2Þ

This condensation energy is surprisingly small, being of the order of only 10
7 eV per electron, which is the equivalent of a thermal energy of about a millidegree Kelvin. This is a consequence of the fact that only the electrons

7.4 The ground-state wavefunction and the energy gap

245

with energies in the range 

to  þ
are affected by the attractive interaction, and these are only a small fraction of the order of
= of the whole. We note that we cannot expand E c in a power series in the interaction strength V since the function exp½
2=VDðÞ has an essential singularity at V ¼ 0, which means that while the function and all its derivatives vanish as V ! þ0, they all become infinite as V !
0. This shows the qualitative difference between the effects of an attractive and a repulsive interaction, and tells us that we could never have been successful in calculating E c by using perturbation theory. The wavefunction 0 of the superconducting system in its ground state may be found by recalling that it must be the eigenfunction of the diagonalized BCS Hamiltonian that has mk ¼ m
k ¼ 0 for all k, so that

k j0 i ¼
k j0 i ¼ 0:

ð7:4:3Þ

Now since k k ¼
k
k ¼ 0 we can form the wavefunction that satisfies Eq. (7.4.3) simply by operating on the vacuum state with all the k and all the


k . From Eq. (7.3.1) we have  Y  Y y y

k
k j0i ¼ ðuk ck
vk c
k Þðuk c
k þ vk c k Þ j0i k

k

¼

Y

ðuk vk þ



v2k cyk cy
k Þ

j0i:

k

To normalize this we divide by the product of all the vk to obtain Y  y y j0 i ¼ ðuk þ vk c k c
k Þ j0i:

ð7:4:4Þ

k

This wavefunction is a linear combination of simpler wavefunctions containing different numbers of particles, which means that it is not an eigenstate of the total number operator N. Our familiarity with the concept of the chemical potential  teaches us not to be too concerned about this fact, however, as long as we make sure that the average value is kept constant. y The quasiparticle excitations of the system are created by the operators k y and
k acting on 0 . By adding Eqs. (7.3.5) and (7.3.6) one can write the Hamiltonian in the form   X X 2 2 ^ HBCS ¼ E S þ ðmk þ m
k Þ ðuk
vk ÞE k þ 2uk vk Vkk 0 uk 0 vk 0 k

þ higher-order terms;

k0

246

Superconductivity

which on substitution of our solution for uk and vk becomes X 2 HBCS ¼ E S þ ðE^ k þ
2 Þ1=2 ðmk þ m
k Þ þ    : k

The energies Ek of these elementary excitations are thus given by Ek ¼ ðE^2k þ
2 Þ1=2 :

ð7:4:5Þ

These excitations cannot be created singly, for that would mean operating on 0 with a single y , which is a sum containing just one c and one cy . Now any physical perturbation that we apply to 0 will contain at least two electron operators, since such perturbations as electric and magnetic fields act to scatter rather than to create or destroy electrons. For instance y

y

y c k ck 0 j0 i ¼ ðuk k þ vk
k Þðuk 0 k 0 þ vk 0
k 0 Þj0 i y

y ¼ uk vk 0 k
k 0 j0 i;

the other terms vanishing. We thus conclude that only pairs of quasiparticles can be excited, and that from Eq. (7.4.5) the minimum energy necessary to create such a pair of excitations is 2
. This explains the exponential form of the electronic specific heat at low temperatures and also the absorption edge for electromagnetic radiation at 0! ¼ 2
. It is interesting to compare these quasiparticle excitations with the particle– hole excitations of a normal Fermi system. In the noninteracting electron gas y at zero temperature the operator ck ck 0 creates a hole at k 0 and an electron at k provided E^k 0 < 0 and E^k > 0. The energy of this excitation is E^k
E^k 0 , which can be written as jE^k j þ jE^k 0 j, and is thus equal to the sum of the lengths of the arrows in Fig. 7.4.1(a). In the superconducting system the y y y operator ck ck 0 has a component k
k 0 , which creates an excitation of total energy Ek þ Ek 0 equal to the sum of lengths of the arrows in Fig. 7.4.1(b). The density of states is inversely proportional to the slope of E^ðkÞ in the normal metal, and this leads us to think of an effective density of states in the superconductor inversely proportional to dE=djkj. As Ek and E^k are related by Eq. (7.4.5) we find this effective density of states to be equal to d E^ DðEÞ ¼ 2DðEÞ dE 8 jEj > < 2DðÞ 2 ðE

2 Þ1=2 ’ > : 0

if jEj >
if jEj 
:

ð7:4:6Þ

7.5 The transition temperature

247

Figure 7.4.1. In a normal metal (a) an electron–hole pair has an excitation energy equal to the sum of the lengths of the two arrows in the left-hand diagram; the density of states is inversely proportional to the slope of E^ðkÞ and is thus roughly constant. In a superconductor (b) the energy of the excitations is the sum of the lengths of the arrows when Ek is plotted; an effective density of states can again be drawn which is inversely proportional to the slope of Ek , as shown on the right.

The factor of 2 enters when DðÞ is the normal density of states for one spin y direction because the states k j0 i and y
k j0 i are degenerate. 7.5 The transition temperature Our method of diagonalizing HBCS in Section 7.3 was to fix uk and vk so that the sum of off-diagonal terms from Eqs. (7.3.5) and (7.3.6) vanished. The resulting equation was of the form  X X 2 2 ^ 2E k uk vk
Vkk 0 uk 0 vk 0 ð1
mk 0
m
k 0 Þðuk
vk Þ k0

k y

 ð k y
k þ
k k Þ ¼ 0;

ð7:5:1Þ

248

Superconductivity

and to solve this we first put mk 0 ¼ m
k 0 ¼ 0. While this approach remains valid in the presence of a few quasiparticle excitations it clearly needs modification whenever the proportion of excited states becomes comparable to unity, for then the terms in mk 0 and m
k 0 will contribute significantly to the summation over k 0 . This will be the case if the temperature is such that kT is not much less than
. We resolve this difficulty by first of all assuming that it is possible to eliminate these off-diagonal terms. We are then left with a Hamiltonian that is the sum of the diagonal parts of Eqs. (7.3.5) and (7.3.6), so that HBCS ¼

X k




2E^k v2k þ

X

X

ðu2k
v2k ÞE^k ðmk þ m
k Þ

k

Vkk 0 uk 0 vk 0 uk vk ð1
mk 0
m
k 0 Þð1
mk
m
k Þ:

ð7:5:2Þ

k;k 0

The energy Ek necessary to create a quasiparticle excitation will be Ek ¼

@hHBCS i @hmk i

¼ E^k ðu2k
v2k Þ þ 2uk vk

X

Vkk 0 uk 0 vk 0 ð1
hmk 0 i
hm
k 0 iÞ:

ð7:5:3Þ

k0

Now if we had a system of independent fermions at temperature T then we should know from Fermi–Dirac statistics just what the average occupancy of each state would be; from Eq. (3.3.3) we could immediately write m k ¼ m
k ¼

1 : exp ðEk =kTÞ þ 1

ð7:5:4Þ

(No chemical potential appears in this function because the total number of quasiparticles is not conserved.) Although the terms in mk mk 0 in Eq. (7.5.2) represent interactions among the fermions, the definition of the quasiparticle energy adopted in Eq. (7.5.3) allows us to treat them as independent. We can then obtain an approximate solution of Eq. (7.5.1) by replacing mk 0 and m
k 0 by their thermal averages. If we abbreviate the Fermi function of Eq. (7.5.4) by f ðEk Þ then we find that to satisfy Eq. (7.5.1) we must put 2E^k uk vk
ðu2k
v2k Þ

X k

0

Vkk 0 uk 0 vk 0 ½1
2f ðEk 0 Þ ¼ 0:

7.5 The transition temperature

249

The only difference between this equation and Eq. (7.3.8) lies in the extra factor of 1
2f ðEk 0 Þ that multiplies the matrix element Vkk 0 . Consequently if we again make the substitution (7.3.9), but this time replace the definition of
k given in Eq. (7.3.11) by the definition
k ðTÞ ¼

X k

0

Vkk 0 ð14
x2k 0 Þ1=2 ½1
2f ðEk 0 Þ

ð7:5:5Þ

we regain Eq. (7.3.12). The temperature-dependent gap parameter
ðTÞ is then found by resubstituting Eq. (7.3.12) in Eq. (7.5.5). One has
k ðTÞ ¼

1X
k 0 ðTÞ Vkk 0 2 ½1
2f ðEk 0 Þ: 2 k0 ½E^k 0 þ
2k 0 ðTÞ1=2

ð7:5:6Þ

This equation still contains the excitation energy Ek which we evaluate by taking the thermal average of Eq. (7.5.3). We find Ek ¼ E^k ðu2k
v2k Þ þ 2uk vk

X k

¼

½E^k2

þ

Vkk 0 uk 0 vk 0 ½1
2f ðEk 0 Þ

0


2k ðTÞ1=2 ;

ð7:5:7Þ

which is identical with our previous expression (7.4.5) except that
is now a function of temperature. On substituting for Ek 0 and f ðEk 0 Þ in Eq. (7.5.6) we find  ^2  1X
k 0 ðE k 0 þ
2k 0 Þ1=2
k ¼ V 0 tanh : 2 k 0 kk ðE^k2 0 þ
2k 0 Þ1=2 2kT

ð7:5:8Þ

In the simple model defined by Eq. (7.3.15) this reduces to ð 0!D VDðÞ 0

tanh½ðE^2 þ
2 Þ1=2 =2kT ^ d E ¼ 1: ðE^2 þ
2 Þ1=2

ð7:5:9Þ

At zero temperature this equation for
reduces to our previous solution (7.3.16). When the temperature is raised above zero the numerator of the integrand is reduced, and so in order for Eq. (7.5.9) to be satisfied the denominator must also decrease. This implies that
is a monotonically decreasing function of T; in fact it has the form shown qualitatively in Fig. 7.5.1. The initial decrease is exponentially slow until kT becomes of the order of
ð0Þ and the quasiparticle excitations become plentiful;
ðTÞ then

250

Superconductivity

Figure 7.5.1. The energy gap parameter
decreases as the temperature is raised from zero, and vanishes at the transition temperature Tc .

begins to drop more rapidly until at the transition temperature Tc it vanishes. The magnitude of Tc in the BCS model is found from Eq. (7.5.9) by putting
ðTc Þ ¼ 0. We then have ð 0!D =2kTc VDðÞ

x
1 tanh x dx ¼ 1

0

or 0! =2kTc ½ln x tanh x0 D




ð 0!D =2kTc

sech2 x ln x dx ¼

0

1 : VDðÞ

For weak-coupling superconductors we can replace tanh ð0!D =2kTc Þ by unity and extend the upper limit of the integral to infinity to find   ð1 0!D 1 :
ln sech2 x ln x dx ¼ VDðÞ 2kTc 0 The integral is more easily looked up than evaluated, but either way is equal to ln 0:44, from which kTc ¼ 1:140!D e
1=VDðÞ : Comparison with Eq. (7.3.17) shows that in this model 2
ð0Þ ¼ 3:50; kTc

ð7:5:10Þ

7.5 The transition temperature

251

a result in adequate agreement with the experimentally observed values of this parameter, which for most elements lie between two and five. The existence of an isotope effect is an obvious consequence of Eq. (7.5.10). The simplest form of isotope effect occurs when VDðÞ is independent of the ionic mass A, as then Tc depends on A only through the Debye energy 0!D , which is proportional to A
1=2 . The fact that the electron–phonon enhancement of DðÞ is independent of A has already been considered in Problem 6.1, and the demonstration that V should also have this property follows similar lines. One should, however, note that Tc is very sensitive to changes in the density of states DðÞ as a consequence of the fact that VDðÞ  1. Thus if VDðÞ ¼ 18 then from Eq. (7.5.10) one sees that a one percent decrease in DðÞ will cause an eight percent decrease in Tc . This makes it not very surprising that inclusion of the Coulomb repulsion in V or the use of other more complicated models can lead to different kinds of isotope effect. The electronic specific heat C may now also be calculated for the BCS model. The energy EðTÞ of the superconductor at temperature T will be the average expectation value of the Hamiltonian (7.5.2). We find X 2 2 2 EðTÞ ¼ ½2E^k v k þ ðu k
vk Þ2fk E^k
ð1
2fk Þuk vk
 k

   X
2 ^ E k
Ek
¼ ð1
2fk Þ 2Ek k from which dEðTÞ dT   X 
2 df 1 2 dð1=EÞ þ ð1
2f Þ
¼ 2 E
dT 2E dT 2 k    X df d 1
2f ¼ þ
2 2E dT dT 2E k X  d
2 2E 2  @f ¼ :
@E dT T k

C¼

ð7:5:11Þ

Reasonably good agreement with experiment is usually obtained with this formula. The observed discontinuity in C at the transition temperature arises from the term d
2 =dT, which is zero for T > Tc but finite for T < Tc . The prediction of Eq. (7.5.11) is that C increases by a factor of 2.43 as the sample is cooled through Tc ; observed increases are within a factor of four of this value.

252

Superconductivity

7.6 Ultrasonic attenuation In Fig. 7.1.1 the damping coefficient  for low-frequency sound waves in a superconductor was shown as a function of temperature. The rapid decrease of  as the sample is cooled below Tc suggests that the attenuation of an ultrasonic wave depends on the presence of quasiparticle excitations in the material. We can see why this should be so when we recall that the frequencies used in such ultrasonic experiments are typically less than 100 MHz, so that each phonon has an energy of less than 10
6 eV. Unless T is very close to Tc this phonon energy will be much less than 2
, which is the minimum energy required to create a pair of quasiparticles. The phonons can then only be absorbed by scattering already existing quasiparticles from one k-state to another. The canonical transformation that we adopted in Section 6.5 allowed us to ignore the phonon system in calculating the BCS ground state; we had removed the first-order effects of the electron–phonon interaction and we assumed the transformed phonon system just to form a passive background that did not affect our calculations. In the theory of ultrasonic attenuation, however, the occupation number nq of the applied sound wave must be allowed to change as the wave is damped, and so we must exclude this particular phonon mode q from the canonical transformation that leads to Eq. (6.5.4). We are consequently left with a Hamiltonian that still contains the set of terms Hq and H
q where X y Mq c kþq;s ck;s ðay
q þ aq Þ: Hq ¼ k;s

The annihilation operator aq will reduce the occupation number of the phonon mode q by unity, and thus effect the damping of the applied sound wave. The effect of this process on the electron system is seen by transforming from the electron operators c to the quasiparticle operators by means of Eqs. (7.3.3) and (7.3.4). In the notation in which k  k" and
k 
k# this gives us X y Hq ¼ Mq ðay
q þ aq Þ ðc kþq ck þ cy
k c
ðkþqÞ Þ k

¼

Mq ðay
q

þ aq Þ

X

y

½ðukþq kþq þ vkþq
ðkþqÞ Þðuk k þ vk y
k Þ

k y
vk k Þðukþq
ðkþqÞ
vkþq kþq Þ X y ¼ Mq ðay
q þ aq Þ ½ðukþq uk
vkþq vk Þð kþq

k þ y
k
ðkþqÞ Þ

þ

ðuk y
k

k y þ ðukþq vk þ uk vkþq Þð kþq

y
k þ
ðkþqÞ k Þ:

ð7:6:1Þ

7.6 Ultrasonic attenuation

253

y

kþq y
k

The terms in and
ðkþqÞ k lead to the simultaneous creation or destruction of two quasiparticles and, as we have seen, cannot represent energy-conserving processes when 0!q is negligible. We are thus left y with the terms kþq k and y
k
ðkþqÞ , which can lead to energy-conserving processes if either Ekþq ¼ Ek þ 0!q or E
k ¼ E
ðkþqÞ þ 0!q . For such processes to be allowed, the quasiparticle states k and
ðk þ qÞ must initially be filled and the final states ðk þ qÞ and
k must be empty. We then find the total probability Pa of a phonon of wavenumber q being absorbed to be given by Pa /

X ðukþq uk
vkþq vk Þ2 ½ fk ð1
fkþq Þ ðEkþq
Ek
0!q Þ k

þ f
ðkþqÞ ð1
f
k Þ ðE
k
E
ðkþqÞ
0!q Þ: The set of terms H
q is similarly calculated to give a certain probability Pe of a phonon of wavenumber q being emitted when a quasiparticle is scattered from k to k
q. We assume this phonon mode to be macroscopically occupied, so that we can neglect the difference between nq and nq þ 1. We then find the net probability P that a phonon is absorbed to be P ¼ Pa
Pe X 2 / ðuk
v2k Þ2 ½ð fk
fkþq Þ ðEkþq
Ek
0!q Þ k

þ ð f
ðkþqÞ
f
k Þ ðE
k
E
ðkþqÞ
0!q Þ;

ð7:6:2Þ

where ðukþq uk
vkþq vk Þ2 has been replaced by ðu2k
v2k Þ2 , the justification being that q is small while in the present context uk and vk are slowly varying functions. We similarly make the approximation @f @k dE dE @f ¼
q
dk dE @E E^ @f ¼
q0vk cos ; E @E

fk
fkþq ¼
q


with the angle between q and k. On changing the sum in Eq. (7.6.2) to an integral over energy and solid angle and substituting for ðu2k
v2k Þ2

254

Superconductivity

we find   ð  ^ 2 E E^ @f E^  q0vk cos
0!q dðcos Þ d E^ q0vk cos P / DðÞ E E @E E     ð 2 0!q E E^ @f ¼ DðÞ dðcos Þ d E^  cos
j cos j E @E q0vk E^ ð1 !q @f ’
2DðÞ dE
qvk @E / f ð
Þ: The ratio of the damping s in the superconducting state to that in the normal state is thus approximately s f ð
Þ ¼ f ð0Þ n ¼

2 ; exp ð
=kTÞ þ 1

in good agreement with experiment.

7.7 The Meissner effect In the Meissner effect the vanishing of the magnetic field inside a bulk superconductor must be attributed to the existence of an electric current flowing in the surface of the sample; the magnetic field due to this current must exactly cancel the applied field H0 . We investigate this phenomenon within the BCS model by applying a weak magnetic field to a superconductor and calculating the resulting current density j to first order in the applied field. We avoid the difficulties of handling surface effects by applying a spatially varying magnetic field defined by a vector potential A ¼ Aq eiq
r and examining the response j ¼ jq eiq
r in the limit that q becomes very small. It had been realized for many years before the BCS theory that any firstorder response of j to the vector potential A would lead to a Meissner effect. If we define the constant of proportionality between j and A so that 

 c j¼
A; 42

ð7:7:1Þ

7.7 The Meissner effect

255

with c the speed of light, and then take the curl of this relation we obtain the London equation,  c B: rj¼
42 

The use of the Maxwell equations rH¼



 4 j; c

r
B ¼ 0

and the fact that B ¼ H when all magnetization is attributed to the current j gives us the equation r2 B ¼ 
2 B: The solutions of this equation show a magnetic field that decays exponentially with a characteristic length , which can thus be identified with the penetration depth discussed in Section 7.1. In a normal metal  would be infinite, and so from Eq. (7.7.1) we should expect to find no first-order term in an expansion of j in powers of A. We now proceed to perform the calculation of jq in the BCS model. As we saw in Section 3.10, a magnetic field enters the Hamiltonian of a single electron as a perturbation term e H1 ¼ 2mc



 e 2 A
p
A
A
p ; c

relativistic effects and the spin of the electron being neglected. We drop the term in A2 and write H1 in the notation of second quantization as H1 ¼

e X y hkj
p
A
A
pjk 0 ick;s ck 0 ;s 2mc k;k 0 ;s

¼

e0 X y hkj
A
ðk þ k 0 Þjk 0 ick;s ck 0 ;s : 2mc k;k 0 ;s

When the vector potential is of the form Aq eiq
r we have H1 ¼
B Aq


X k;s

y

ð2k
qÞck;s ck
q;s

ð7:7:2Þ

256

Superconductivity

with B ¼ e0=2mc. The current density ev= is found from the continuity equation 
1 r
v ¼


@
; @t

of which the Fourier transform is i
1 q
vq ¼


@
q 1 ¼ ½H;
q : i0 @t

We thus find e q
jq ¼
½ðH0 þ H1 Þ;
q : 0 The commutator of the zero-field Hamiltonian H0 with
q was evaluated in Section 2.7, and ½H1 ;
q  can be similarly calculated. The result is that  X  e0 e2 Aq y y jq ¼ ð2k
qÞck
q;s ck;s
c c : 2m mc k;s k;s k;s

ð7:7:3Þ

The effect of the magnetic field is to perturb the wavefunction of the superconductor from its initial state j0 i to the new state ji that is given to first order in H1 by the usual prescription ji ¼ j0 i þ

1 H j i: E 0
H0 1 0

The current in the presence of the applied magnetic field will then be h jq i ¼ h0 j jq j0 i þ h0 j jq þ h0 jH1

1 H j i E 0
H0 1 0

1 j j i: E 0
H0 q 0

We substitute in this expression for jq and H1 from Eqs. (7.7.2) and (7.7.3)

257

7.7 The Meissner effect

and drop terms of order A2q to find h jq i ¼


X e0B Aq Ne2 Aq
h0 j
ð2k 0
qÞ mc 2m k;s;k 0 ;s 0  1 y y y  ð2k
qÞ c k
q;s ck;s c 0 0c 0 0 þ c k 0 ;s 0 ck 0
q;s 0 E 0
H0 k ;s k
q;s  1 y  ck
q;s ck;s j0 i: ð7:7:4Þ E 0
H0

In this expression the operator H0 is the BCS Hamiltonian in the absence of the magnetic field. To evaluate h jq i it is then necessary to express the electron operators in terms of the quasiparticle operators that change j0 i into the other eigenstates of H0 . We accordingly use Eqs. (7.3.3) and (7.3.4) to write y

y

y

c k
q" ck" ¼ ðuk
q k
q þ vk
q
ðk
qÞ Þðuk k þ vk
k Þ and other similar expressions. There then follows a straightforward but lengthy set of manipulations in which the first step is the argument that y whatever quasiparticles are created or destroyed when ck 0 " ck 0
q" acts on 0 y must be replaced when c k
q" ck" acts if the matrix element is not to vanish. Similar reasoning is applied to all such combinations of operators so that the summation over k and k 0 is reduced to a single sum. When q is very small uk
q and vk
q are replaced by uk and vk and a large amount of cancellation occurs. Eventually one reduces Eq. (7.7.4) to 2NeB e0B Aq
0 2m   X mk
mkþq 2 2  Aq
2kðuk þ vk Þ4kh0 j j0 i: Ek
Ekþq k

h jq i ¼


The summation over k is then replaced by an integral over energy multiplied by DðÞ=3, the factor of 13 arising from the angular integration. The expectation of the quasiparticle number operators mk is replaced by their averages fk , while for small q the ratio of the differences mk
mkþq and Ek
Ekþq becomes the ratio of their derivatives so that one has h jq i ¼


Ne2 e 2 02 1 DðÞ8k2F Aq
2 A mc 4m c q 3

ð

@fk dE: @Ek

258

Superconductivity

Since DðÞ may be written as 3Nm=202 k2F this becomes   ð Ne2 @f dE Aq 1 þ @E mc   ð1 Ne2 E df ¼
dE Aq 1 þ 2 1=2 dE mc
ðE 2

2 Þ

h jq i ¼


ð7:7:5Þ

with f ðEÞ the Fermi–Dirac function. That this expression is of the expected form can be verified by examining the cases where
¼ 0 and where T ¼ 0. At temperatures greater than Tc the gap parameter
vanishes and the integration may be performed immediately: the two terms in parentheses cancel exactly and no Meissner effect is predicted. At T ¼ 0, on the other hand, the integral over E itself vanishes and Eq. (7.7.5) may be written as h jq i ¼


c A 42 q

if  is chosen such that rffiffiffiffiffiffiffiffiffiffiffiffiffi mc2  ¼ 4Ne2 c ¼ !p with !p the plasma frequency. A Meissner effect is thus predicted with a penetration depth  which is of the correct order of magnitude and which depends only on the electron density. At intermediate temperatures Eq. (7.7.5) predicts a penetration depth that increases monotonically with T and becomes infinite at Tc , in accord with experiment.

7.8 Tunneling experiments Shortly after the development of the BCS theory it was discovered that a great deal of information about superconductors could be obtained by studying the current–voltage characteristics of devices composed of two pieces of metal separated by a thin layer of insulator. A typical device of this kind might consist of a layer of magnesium that had been exposed to the atmosphere to allow an insulating layer of MgO to form on its surface. After this layer had reached a thickness of about 20 A˚ a layer of lead might be

7.8 Tunneling experiments

259

deposited on top of the oxide, and the differential conductance, dI=dV, measured at some temperature low enough for the lead to be superconducting. The result would be of the form shown in Fig. 7.8.1; a sharp peak in dI=dV is observed when the potential difference V between the magnesium and the lead is such that the gap parameter
of the lead is equal to eV. To discuss effects such as these we choose a simplified model in which the two halves of a box are separated by a thin potential barrier so that the variation of potential in the z-direction is as shown in Fig. 7.8.2. The

Figure 7.8.1. A device consisting of a normal metal and a superconductor separated by a thin layer of insulator has a differential conductance that exhibits a sharp peak at a voltage V such that eV is equal to the gap parameter
.

Figure 7.8.2. In the simplest model of a tunneling junction the two halves of a box are separated by a narrow potential barrier.

260

Superconductivity

wavefunction of a single electron in this system will then be of the form ¼ eikx xþiky y ðzÞ; where, from the symmetry of the potential, ðzÞ will be either an odd function a of z or an even function s . For each state s , there will exist a corresponding a that has just one more node (which will be located at the center of the barrier). The difference in energy of these states will be governed by the fact that the phase of the wavefunction at the edge of the barrier will be different in the two cases by some amount  ; if in the left-hand side of the box s is of the form sin kz z then a will be of the form sin ½ðkz þ  =LÞz. The energy difference 2T will then be given by 02 2T ¼ 2m



 kz þ L

2




k2z

 ;

ð7:8:1Þ

and will be proportional to vz , the component of the electron velocity perpendicular to the barrier, when  is small. In the discussion of tunneling experiments it is more useful to work in terms of the wavefunctions s  a rather than s and a themselves, as the sum or difference is largely localized on one side or the other of the barrier. We thus do not write the Hamiltonian of the system as H ¼ E s cys cs þ E a cya ca ; with cys j0i ¼ js i;

cya j0i ¼ ja i;

instead we form new fermion operators cy ¼

cya
cys pffiffi ; 2

dy ¼

cya þ cys pffiffi : 2

In terms of these the Hamiltonian (7.8.2) becomes H ¼ Eðcy c þ d y dÞ þ Tðcy d þ d y cÞ; where E ¼ 12 ðE a þ E s Þ:

ð7:8:2Þ

261

7.8 Tunneling experiments

We now have a picture of two independent systems connected by a perturbation term. The Hamiltonian Hl ¼

X

y

E k cks cks

k;s

describes electrons in the left-hand side of the box, while Hr ¼

X

y

E k d ks dks

k;s

describes those on the right. The perturbation Ht ¼

X

y

y

Tkk 0 ðcks dk 0 s þ d k 0 s cks Þ

ð7:8:3Þ

k;k 0 ;s

acts to transfer electrons through the insulating barrier from one side to the other, the transition probability in lowest order depending on the square of the modulus of the matrix element T. When a voltage V is applied across this device the energies of those states on the left of the barrier will be raised by an amount eV. Such an electron of kinetic energy E k can then only be elastically scattered by Ht to a state k 0 on the right of the barrier of kinetic energy E k þ eV. The net flow of electrons from left to right will then be proportional to X

jTj2 ½ fk ð1
fk 0 Þ
fk 0 ð1
fk Þ ðE k 0
E k
eVÞ;

0

k;k ;s

from which the current I can be considered as governed by the relation I/

ð

T 2 ½ f ðE k Þ
f ðE k þ eVÞ DðE k ÞDðE k þ eVÞ dE k

with T 2 the square of some average matrix element. The fact that T is, as we have seen in Eq. (7.8.1), proportional to @E=@kz , while DðE k Þ ¼

ðdN=dkÞ ðdE=dkÞ

262

Superconductivity

leads to a cancellation in the energy dependence of the integrand when eV  . One is left with a relation of the form ð I / ½ f ðE k Þ
f ðE k þ eVÞ dE k ð ¼ f f ðE k Þ
½ f ðE k Þ þ eVf 0 ðE k Þ þ 12 ðeVÞ2 f 00 ðE k Þ þ   g dE k ’ eV and the device is predicted to obey Ohm’s law. We might picture the calculation of this kind of tunneling as in Fig. 7.8.3, where the densities of states of the two halves of the device are plotted horizontally and energy is measured vertically. The density of occupied states per unit energy is the product f ðE k ÞDðE k Þ, and is represented by the shaded areas. The tunneling current is then proportional to the difference in the shaded areas on the two sides. We now consider how this calculation should be modified if the metal on the right of the barrier becomes superconducting, so that our system becomes a model of the Mg–MgO–Pb device whose conductance was shown in Fig. y 7.8.1. Our first step must be to replace the electron operators d ks and dks by the quasiparticle operators that act on the BCS state. We accordingly rewrite

Figure 7.8.3. In this diagram the densities of states in the two halves of a tunneling junction are plotted to left and right. The densities of occupied states are found by multiplying these by the Fermi–Dirac distribution function to give the shaded areas. A voltage difference raises the energy of one side relative to the other and leads to a current flow proportional to the difference in areas.

263

7.8 Tunneling experiments

the tunneling perturbation (7.8.3) as Ht ¼

X k;k

0

y

y

T½c k ðuk 0 k 0 þ vk 0 y
k 0 Þ þ cy
k ðuk 0
k 0
vk 0 k 0 Þ y

þ ðuk 0 k 0 þ vk 0
k 0 Þck þ ðuk 0 y
k 0
vk 0 k 0 Þc
k :

ð7:8:4Þ

This perturbation no longer simply takes an electron from one side of the barrier and replaces it on the other; the first term, for instance, creates an electron on the left of the barrier and either creates or destroys a quasiparticle excitation on the right. If the normal metal is at a voltage V relative to the y superconductor then energy conservation demands that for the term ck k 0 to cause a real scattering process we must have E^k ¼ Ek 0
eV (all energies now y y being measured relative to the chemical potential ). For the term ck
k 0 to ^ cause scattering, on the other hand, we must have E k ¼
Ek 0
eV. Applying these arguments to all the terms in expression (7.8.4) we find that I/

X

jTj2 ðu2k 0 f f ðE^k Þ½1
f ðEk 0 Þ
f ðEk 0 Þ½1
f ðE^k Þg ðEk 0
E^k
eVÞ

k;k 0

þ v2k 0 f f ðE^k Þ f ðEk 0 Þ
½1
f ðE^k Þ½1
f ðEk 0 Þg ðE^k þ Ek 0 þ eVÞÞ X ¼ jTj2 fu2 0 ½ f ðE^k Þ
f ðEk 0 Þ ðE^k
Ek 0 þ eVÞ k

k;k 0

þ v2k 0 ½ f ðE^k Þ
1 þ f ðEk 0 Þ ðE^k þ Ek 0 þ eVÞg: We change the sums over k and k 0 to integrals over E^k and Ek 0 by multiplying by Dl ðE^k ÞDr ðEk 0 Þ, with Dr ðEk 0 Þ the effective density of states defined in Eq. (7.4.6). The first -function vanishes unless Ek 0 ¼ E^k þ eV, which from Eq. (7.5.7) means that k 0 must satisfy the condition E^k 0 ¼ ½ðE^k þ eVÞ2

2 1=2 : But since from Eqs. (7.3.9) and (7.3.12) u2 ðE^k 0 Þ þ u2 ð
E^k 0 Þ ¼ 1; the coefficients u2k 0 will vanish from the expression for the current when we perform the integration. Similar arguments applied to the second -function

264

Superconductivity

and the coefficients v2k 0 give us ð I / T 2 Dl ðE^k ÞDr ðE ¼ E^k þ eVÞ½ f ðE^k Þ
f ðE^k þ eVÞ d E^k where use has been made of the fact that f ð
EÞ ¼ 1
f ðEÞ: Because of the form of Dr ðEÞ, which was shown in Fig. 7.4.1(b), the integral is no longer proportional to V, but leads to a current of the form shown in Figs. 7.8.4 and 7.8.1. For small V little current will flow, since f ðE^k þ eVÞ will differ appreciably from f ðE^k Þ only when jE^k j < kT, and in this region the density of quasiparticle states, Dr ðEÞ, vanishes. This is illustrated in Fig. 7.8.5, where the occupied states are again represented by shaded areas. It is only when eV >
that a large current flows, giving rise to the observed peak in dI=dV at this voltage. One effect that does not emerge from this elementary calculation concerns y the need to distinguish between the bare electron created by the operator ck and the electron in interaction with the phonon system. The canonical transformation of Section 6.5 is applied only to the electrons in the superconducting half of the device, and this must be allowed for in any more careful calculation of the tunneling current. One finds that the observed characteristics of the junction are greatly affected by the shape of the phonon

Figure 7.8.4. This current–voltage characteristic is the same as that shown in Fig. 7.8.1, and is typical of a superconductor–insulator–normal metal junction.

7.9 Flux quantization and the Josephson effect

265

Figure 7.8.5. In this generalization of Fig. 7.8.3 the density of states on the right has been replaced by the effective density of states Dr ðEÞ of the superconductor.

density of states in strong-coupling superconductors, and may even give useful information about phonon modes in alloys that is not easily obtained by other means. 7.9 Flux quantization and the Josephson effect The third possible type of tunnel junction is that in which the metal on both sides of the insulating barrier is superconducting. The calculation of the characteristics of this device is more difficult than the previous examples in that the total number of electrons is now not well defined on either side of the barrier; special operators must be defined that add pairs of electrons to one side or the other of the device. One result of such a calculation is that a current is predicted to flow that varies with applied voltage in the way shown in Fig. 7.9.1. and which is in accord with the simple interpretation of Fig. 7.9.2 for a device composed of two dissimilar superconductors. There is, however, also another type of current that may flow in such a device – a current associated with the tunneling through the barrier of bound pairs of electrons. We can gain some insight into the nature of these currents by returning to a consideration of the effect of magnetic fields on the current carried by an electron. We have seen (in Eq. (3.10.8), for example) that the Hamiltonian of a free particle of mass m* and charge e* in a magnetic field H ¼ r  A is of the form H¼

ðp
e*A=cÞ2 : 2m*

266

Superconductivity

Figure 7.9.1. The current–voltage characteristic of a tunnel junction of two superconductors shows a discontinuity at a voltage V such that eV equals the sum of the gap parameters of the two materials.

Figure 7.9.2. The results shown in Fig. 7.9.1 can be interpreted with the aid of this diagram of the effective densities of states.

If the vector potential were of the form A ¼ ðA; 0; 0Þ

ð7:9:1Þ

with A a constant, then r  A would vanish and there would be no magnetic field. The eigenstates of H would be ¼ exp iðkx x þ ky y þ kz zÞ

ð7:9:2Þ

7.9 Flux quantization and the Josephson effect

267

with energies 02 E¼ 2m*

2   e*A 2 2 þ ky þ kz : kx
0c

In the absence of applied fields we imposed periodic boundary conditions by stipulating that should be equal at the points ðx; y; zÞ, ðx þ L; y; zÞ, ðx; y þ L; zÞ, and ðx; y; z þ LÞ. As long as no external electric or magnetic fields were acting, this was a permissible step whose only effect was to make the counting of states a little easier. If applied fields are present, however, this joining of the wavefunction on opposite faces of a cubical box must be treated more carefully. We cannot, for instance, apply a uniform electric field to the system and impose periodic boundary conditions, as such a procedure would result in the particle being continuously accelerated in one direction! In the particular case where only a vector potential ðA; 0; 0Þ acts on the particle we can commit the topological sin of imposing periodic boundary conditions if we remain awake to the physical implications. Because A is equal at the points ðx; y; zÞ and ðx þ L; y; zÞ the Hamiltonian itself is periodic in the x-direction. Periodicity of in this direction then demands that kx ¼ 2n=L with n an integer. The contribution of the motion in the x-direction to the energy is thus   02 2n e*A 2 : ð7:9:3Þ
Ex ¼ 0c 2m* L The motion in the y- and z-directions is unaffected by A and so we can also retain periodicity in these directions. The physical picture of this situation is that we have a closed loop of superconducting material, as shown in Fig. 7.9.3. Since A acts in the x-direction we physically join these two opposite faces of the material. Because the electrons occupy pair states we interpret the charge e* of the current carriers as 2e. While we assume that the Meissner effect obliges the magnetic field to vanish within the superconductor (we assume dimensions large compared with the penetration depth) the magnetic flux  threading the ring does not necessarily vanish, since ð  ¼ r  A
dS ¼

þ

A
dl

¼ AL;

ð7:9:4Þ

268

Superconductivity

Figure 7.9.3. The free energy of a superconducting ring like this is a minimum when the magnetic flux threading it is quantized.

the line integral being taken around a closed path within the ring. From Eq. (7.9.3) the additional energy of the electron pair due to the vector potential will be    02 4n 2eA 2eA 2 þ
:
E x ¼ L 0c 0c 2m*

ð7:9:5Þ

If for every state of positive n the corresponding state of negative n is also occupied then there will be no contribution to the total energy of the electron gas from the term linear in A, and the total energy change will be
E total ¼

  2N02 e 2 : m*L2 0c

The presence of a finite magnetic flux threading the ring thus increases the energy of the system. If the flux is greater than 0c=2e it becomes energetically favorable for an electron pair with kx ¼
2n=L to make a transition to a state for which kx ¼ 2ðn þ 1Þ=L. The total energy change due to A is then
E total

2N02 ¼ m*L2



e 
0c

2

;

which takes on its minimum value of zero when  ¼ 0c=e. These arguments can be extended to show that the minimum possible energy of the system is in

7.9 Flux quantization and the Josephson effect

269

fact a periodic function of  of the form shown in Fig. 7.9.4. There is thus a tendency for the magnetic flux  threading the ring to be quantized in units of the flux quantum 0 , equal to 0c=e. This is verified experimentally in a number of delicate measurements in which minute hollow cylinders of superconductor have been cooled down through Tc in the presence of applied magnetic fields. Subsequent measurements of the flux trapped in this way show values that unmistakably cluster around integral multiples of 0 . The current carried by a single pair of electrons will be proportional to 0kx
2eA=c, which from Eqs. (7.9.4) and (7.9.5) is in turn proportional to @ð
E x Þ=@. The total current I flowing in the ring is thus proportional to dE total =d; one differentiates the curve of Fig. 7.9.4 to find the sawtooth graph of Fig. 7.9.5. This graph leads to two results of great importance in the theory of superconductivity when we realize that this theory will apply not only to a closed ring of superconductor but also to a device such as that shown in Fig. 7.9.6, in which the ring is broken and a thin insulating layer inserted. Provided the gap is narrow enough that an appreciable number of electron pairs can tunnel through and that no flux quanta are contained in the gap itself, then the current will still be a periodic function of  with period 0 . The first experiment we consider is a measurement of the current I when the flux  is held constant. Since the electromotive force in the ring is equal

Figure 7.9.4. This construction shows the energy of a ring of superconductor at zero temperature to be a periodic function of the magnetic flux , and to have minima at integral multiples of the flux quantum 0 .

Figure 7.9.5. This sawtooth curve is the derivative of that shown in Fig. 7.9.4, and represents the current I.

270

Superconductivity

Figure 7.9.6. In this simple version of a Josephson junction a superconducting ring has been cut through at one place and has had a thin insulating layer inserted at the break.

to
c
1 d=dt we know that any current flowing must do so in the absence of an electric field. If  is maintained at a value different from n0 it is thus energetically favorable for a small supercurrent to flow, and the I–V characteristic of Fig. 7.9.1 should exhibit a delta-function peak in the current at V ¼ 0. This phenomenon is known as the dc Josephson effect (dc standing for ‘‘direct current’’). The second experiment consists of causing the flux to increase uniformly with time. This constant value of
c
1 d=dt represents a constant electromotive force V acting in the circuit. From Fig. 7.9.5 we then see that I will in fact alternate in sign as  is increased, the frequency of this alternating current being equal to the number of flux quanta introduced per unit time. The angular frequency ! of the current in this ac Josephson effect is thus !¼

2eV ; 0

which is of the order of magnitude of 12 GHz per microvolt. It is interesting to note that this is just the frequency difference that we would associate with the wavefunction of a single pair of electrons placed in this device; the time-dependent Schro¨dinger equation tells us that a particle of energy E has a wavefunction of the form ðr; tÞ ¼ ðrÞe
iEt=0 while the wavefunction for a particle of energy E þ 2eV varies with time as e
iðEþ2eVÞt=0 . For a single particle such as this we can never expect to measure

7.10 The Ginzburg–Landau equations

271

Figure 7.9.7. A wavefunction consisting of a linear combination of different harmonic-oscillator states describes a system in which both the number of particles and the phase of the wavefunction can be partially specified.

the phase of the wavefunction, as physically measurable quantities like the particle density always involve j j2 . This may be thought of as another form of the Uncertainty Principle, and states that if the number of particles is known then the phase is unknown. We can, however, form a wavefunction of known phase if we form a wave packet of different numbers of particles. Adding equal amounts of the n ¼ 0 ground state and the n ¼ 1 state of a harmonic oscillator, for example, gives a wavefunction that oscillates back and forth with the classical oscillator frequency (Fig. 7.9.7). We thus look at the Josephson junction as a device in which the uncertainty in the number of pairs on each side of the barrier allows us to measure the relative phase of the wavefunction of the two parts of the system. This concept can be extended to the theory of superfluid liquid helium, where effects analogous to the ac Josephson effect have been detected when a pressure difference is maintained between two parts of a container separated by a small hole.

7.10 The Ginzburg–Landau equations The destruction of superconductivity by a strong enough magnetic field may be understood by considering the energy associated with the Meissner effect. The expulsion of all magnetic flux from the interior of a long sample held parallel to an applied field H0 gives it an effective magnetization per unit volume of
H0 =4. Since the magnetic moment operator is given by
@H=@H one finds the energy of the sample due to its magnetization to be EM ¼ 

ð H0 0

¼

H20 : 8

H
dH 4

272

Superconductivity

Figure 7.10.1. The magnetic energy of a superconductor varies as the square of the applied magnetic field H0 . For fields greater than Hc it is energetically favorable for the sample to make a transition to the normal state.

When this energy becomes greater than the condensation energy E c then, as illustrated in Fig. 7.10.1, it is no longer energetically favorable for the sample to remain in the superconducting state. In a weak-coupling superconductor at zero temperature, for instance, the critical field Hc above which the metal could not remain uniformly superconducting would be given by 

Hc2 1 ¼ DðÞ
2 ð0Þ: 8 2

At finite temperatures, Hc ðTÞ can be found by identifying the condensation energy with the difference in Helmholtz energies of the normal and superconducting phases. If the sample geometry is changed to that shown in Fig. 7.10.2 the magnetic energy is greatly increased, for there is now a large region outside the sample from which the applied field is partially excluded. Since the condensation energy remains constant the specimen starts to become normal at an applied field well below Hc . The sample does not become entirely nonsuperconducting, but enters what is known as the intermediate state, in which a large number of normal and superconducting regions exist side by side (Fig. 7.10.3). In this way the magnetic energy is greatly reduced while a

7.10 The Ginzburg–Landau equations

273

Figure 7.10.2. The magnetic field at the rim of this disc-shaped sample of superconductor is greater than the applied field; the superconductivity thus starts to be destroyed at weaker applied fields than is the case for a rod-shaped sample.

Figure 7.10.3. The intermediate state.

274

Superconductivity

large part of the condensation energy is retained. This behavior is similar to that described at the beginning of this chapter, where a type II superconductor was defined. The difference is that while the type I superconductor only forms a mixture of normal and superconducting regions when the magnetic energy is magnified by geometric factors, the type II superconductor will enter the mixed state even when in the form of a long sample held parallel to a strong enough applied field. In the mixed state the distance between normal regions is typically 0.3 mm, which may be compared with the coarser structure of the intermediate state, which is characterized by distances typically of the order of 100 mm. The analysis of these phenomena in terms of the BCS theory is very complicated. Because the magnetic field will be a rapidly varying function of position within the sample we must return to the arguments of Section 7.7 and ask for the response to the vector potential Aq eiq
r when q is no longer vanishingly small. There we saw in Eq. (7.7.5) that the current h jq i due to the vector potential could be expressed as the sum of two parts – a negative (or diamagnetic) part and a positive (or paramagnetic) part. In a superconductor at zero temperature the paramagnetic part vanished for q ! 0, while in a normal metal it exactly cancelled the diamagnetic part and left no Meissner effect. A more careful investigation shows that as q is increased from zero the paramagnetic response of a superconductor also increases, until at large enough q it approximates the response of a normal metal. If one expresses this result in the form h jq i ¼
Lq Aq

ð7:10:1Þ

then one finds that Lq first becomes appreciably lower than its zero-q value when the approximation Ekþq
Ek ’ q


@Ek @k

becomes invalid. This occurs when q


@E k 
@k

which is equivalent to the condition q 0  1 with 0 ¼ 0vF =
, the coherence length discussed in Section 7.1. The Fourier

7.10 The Ginzburg–Landau equations

275

transform of Eq. (7.10.1) is an equation of the form h jðrÞi ¼


ð

Lðr 0 ÞAðr
r 0 Þ dr 0

ð7:10:2Þ 0

with Lðr 0 Þ a function that can be reasonably well approximated by L0 e
r = 0 . An equation of this kind had been suggested by Pippard on macroscopic grounds before the development of the BCS theory. When the coherence length 0 is very much smaller than the penetration depth  then Aðr
r 0 Þ will not vary appreciably within the range of Lðr 0 Þ. Equation (7.10.2) then tells us that the current density at a point will be approximately proportional to the vector potential in the gauge that we have chosen, and the London equation (7.7.1) will be valid. Under these circumstances it will be energetically favorable for type II superconductivity to occur, as the magnetic field can penetrate the superconductor and reduce the magnetic energy without reducing the condensation energy. If, on the other hand,   0 then Eq. (7.10.2) predicts a nonlocal relation between the magnetic field and the current density. The wavefunction of the superconductor may then be modified up to a distance 0 from the surface of the specimen, with a consequent reduction in the condensation energy. Because the magnetic field only penetrates a short distance , little magnetic energy is gained, and the sample will be a type I superconductor. We can illustrate this situation if we make the generalization that in a spatially varying magnetic field the gap parameter
should be considered as a function of position. The variation of BðrÞ and
ðrÞ at the boundary separating normal and superconducting regions of a metal can then be depicted as in Figs. 7.10.4(a) and 7.10.4(b) for type I and II superconductors respectively, where
1 is the value of
deep inside the superconductor. A prediction of the geometry of the mixed state in a type II superconductor can be obtained by considering the Helmholtz energy F S in a superconductor in which the gap parameter
varies with position. We saw in Eq. (7.4.2) that the condensation energy is proportional to

2 in a homogeneous superconductor at zero temperature, and so it is natural to expect the dominant term in the Helmholtz energy to vary as

2 ðrÞ in the more general case. The fact that Eq. (7.10.2) shows the current (and hence the wavefunction) at a point r to depend on the conditions at points distant 0 from r suggests that a term proportional to ½ 0 r
ðrÞ2 should be included in F S . In the presence of a magnetic field this contribution must be modified to preserve gauge invariance to ½ 0 ðr
ie*AðrÞ=0cÞ
ðrÞ2 , with e* again chosen equal to 2e; a magnetic energy density of H2 =8 must also be added.

276

Superconductivity

Figure 7.10.4. The area under the curve of B2 ðrÞ represents the magnetic energy gained in forming the normal–superconducting interface, while the area under the curve of
21

2 ðrÞ is related to the condensation energy lost. In a type I material (a) the net energy is positive but in a type II superconductor (b) there is a net negative surface energy.

While the terms we have discussed so far present a fair approximation to F S , this form of the Helmholtz energy does not allow one to discuss which particular two-dimensional lattice of normal regions gives the mixed state of lowest Helmholtz energy; this is due to the linearity of the equation one obtains by trying to minimize F S with respect to
. One must accordingly include the term of next highest power in
, which in this case will be

7.10 The Ginzburg–Landau equations

277

proportional to
4 . The expression for the difference in Helmholtz energies between the superconducting and normal states will then be ð 1 H2 aj
ðrÞj2 þ bj
ðrÞj4 þ FS
FN ¼ 2 8  2     2ieA þ c r

ðrÞ dr 0c

ð7:10:3Þ

with a; b, and c temperature-dependent constants and where the possibility of a complex
has been allowed for in the spirit of the discussion of the phase of the superconducting wavefunction given at the end of Section 7.9. Minimization of F S with respect to both AðrÞ and
ðrÞ yields the Ginzburg–Landau equations, which in principle enable one to calculate A and
as functions of position and of the constants a; b, and c. These constants can be evaluated in terms of the parameters of the homogeneous material when F S is derived from the BCS Hamiltonian using some rather difficult procedures first applied by Gorkov. It is then possible to remove all but one of these parameters from appearing explicitly in the Helmholtz energy by working in terms of the dimensionless quantities in which H is measured in units proportional to Hc , distances are measured in units of the London penetration depth , and in which ðrÞ is the ratio of
ðrÞ to its value in the homogeneous material. The Ginzburg–Landau equations then take on the form 



1 r
A 1
j j
i 2

j j2 A þ r  ðr  AÞ ¼

2 

¼0

1 ð *r
r *Þ 2i

ð7:10:4Þ ð7:10:5Þ

where  is = 0 . The fact that  is the only parameter of the material to enter these equations confirms the idea that it is this quantity alone that determines whether a superconductor will be of type I or type II. The detailed solution of Eqs. (7.10.4) and (7.10.5) leads to a variety of qualitatively correct predictions of the behavior of type II superconductors. The lower critical applied field Hc1 at which it first becomes energetically favorable for a thread of normal material to exist in the superconductor can be shown topbe ffiffi less than Hc , the bulk critical field calculated from
, provided  > 1= 2. Similarly the upper critical field Hc2 below which a regular two-dimensional triangular lattice of threads of normal material

278

Superconductivity

Figure 7.10.5. This diagram shows which of the three ‘‘phases’’ of a superconductor has the lowest free energy for a given Ginzburg–Landau parameter  and applied field H0 .

forms the state of lowest energy can be calculated to be approximately pffiffi 2Hc . This is illustrated in the ‘‘phase diagram’’ of Fig. 7.10.5, in which the state of the superconductor is shown as a function of the Ginzburg– Landau parameter  and the applied magnetic field H0 . The existence of a superconducting surface layer in type II materials up to an applied field Hc3 equal to about 1.7 Hc2 may also be shown to follow from Eqs. (7.10.4) and (7.10.5). 7.11 High-temperature superconductivity The technological promise of superconductivity is so rich that there has been a continual search for materials with higher critical temperatures. In highvoltage transmission lines, ohmic resistance losses consume about one percent of the power carried for every 100 km traveled, and even the best electric motors made of nonsuperconducting materials waste as heat several percent of the energy they use. If the need for refrigeration could be eliminated or reduced, the economic benefits flowing from the adoption of superconducting materials would be substantial. In the decades before 1986, the progress made in this search was slow, for reasons that we can appreciate from the BCS expression (7.5.10) for the critical temperature. We might think that we could increase Tc by making the lattice more rigid, and thereby increasing !D . Unfortunately the interaction term V would simultaneously be reduced, as we see from Eq. (7.2.2), and little advantage would be gained. The remaining component of expression (7.5.10) is the density of states DðÞ, and this can be increased by using transition metals and choosing the most favorable crystal structure. In this way a transition temperature of 23 K was achieved in Nb3 Ge. However, if we

7.11 High-temperature superconductivity

279

travel too far along the path of increasing the density of states we find a new obstacle. The electron–phonon interaction reduces the phonon frequencies through the process shown in Fig. 6.2.2, and a large electronic density of states enhances this effect. As we saw in the case of the Peierls transition described in Section 6.3, softening of the phonon modes eventually leads to a lattice instability. Among other possible routes to high-temperature superconductivity we might look for pairing that involves a stronger force than arises from the electron–phonon interaction. One possibility could be a pairing between an electron and a hole in a material in which electrons and holes are present in equal numbers and with similar masses. However, systems of bound electron– hole pairs have a tendency to form spatially inhomogeneous structures in which the electric charge density or spin density varies periodically in space. Superconductivity is not favored in these spatially modulated structures. It was thus a delightful surprise when, in 1986, Bednorz and Mu¨ller discovered that superconductivity occurred at 35 K in a ceramic compound of lanthanum, barium, copper, and oxygen. This delight was magnified the following year with the revelation by Chu and Wu that replacement of the lanthanum by yttrium raised Tc to 92 K. This allowed the use of liquid nitrogen, which boils at 77 K, for cooling. Many other ceramic compounds were subsequently found to be high-temperature superconductors. A feature common to most, but not all, of these was that they contained parallel layers of CuO2 , each layer separated from its neighbors by ionizable metallic atoms. Another characteristic was the increase in Tc that occurred when each single CuO2 layer was replaced by two contiguous layers, and then by three, although a further increase to four layers produced a decrease in Tc . The original motivation of Bednorz and Mu¨ller for looking at conducting oxides was the thought that the electron–phonon interaction could be strengthened if the copper ions were in nearly unstable positions in the lattice. The Jahn–Teller theorem states that, except in some special circumstances, a degeneracy in electronic states can be lifted by a distortion in which an atom moves to a less symmetric position. Since lifting the degeneracy moves the energies of the states apart, the lowest-lying state will be reduced in energy, and the system is unstable. The existence of nearly degenerate states on the copper ions could thus enhance the electron–lattice interaction. The structure of the CuO2 planes is as shown in Fig. 7.11.1, with each copper atom having four oxygen neighbors. The oxygen atoms are hungry for electrons, and succeed in removing not only the single electron in the outer 4s state of copper, but also one of the electrons from the filled 3d-shell. The copper is thus doubly ionized to Cu2þ . One might then expect to have a

280

Superconductivity

Figure 7.11.1. In many high-temperature superconductors there are planes of copper atoms (large spheres) and oxygen atoms (small spheres) arranged in this way.

metal, since the uppermost band should be only half filled. However, the mutual Coulomb repulsion of the 3d electrons now intervenes and splits this band. It does so by arranging the spins of the holes on the Cu sites in an antiferromagnetic ordering, in which the spin on every Cu site is aligned antiparallel to that of each of its four Cu neighbors. The size of the unit cell of the CuO2 lattice is effectively doubled, and so the size of the first Brillouin zone is correspondingly halved. An energy gap now appears between the new first Brillouin zone and the new second Brillouin zone. The number of holes is now exactly equal to the capacity of the first Brillouin zone, making the compound an insulator. A filled valence band, consisting of states predominantly located on the oxygens, is separated by an appreciable gap from the empty conduction band in which electrons, had they been present, would be mostly concentrated on the copper sites. This is the situation for the undoped material, which is commonly referred to as a Mott insulator. The antiferromagnetism, like all types of ordering, can be destroyed if the temperature is raised sufficiently. It can also be destroyed by increasing the number of holes in the CuO2 layer, as this eliminates the one-to-one correspondence between holes and lattice sites. The doping process that adds extra holes can be achieved by either replacing some of the atoms with those of lower valency or modifying the amount of oxygen in the compound. A doping level (measured as the number of extra holes per CuO2 unit) of a few percent is generally sufficient to destroy antiferromagnetism. As the number of holes is increased beyond this point one enters what is known as the pseudogap region. Here the electronic specific heat does not fit a picture of electrons as a gas or liquid of quasiparticles, but shows some traits characteristic of superconductors. A further increase in doping takes us into the superconducting state, which is often optimized at a doping level of about

7.11 High-temperature superconductivity

281

Figure 7.11.2. The generic phase diagram of a typical high-temperature superconductor.

20 percent. The generic phase diagram for high-temperature superconductors thus appears as in Fig. 7.11.2. The existence of planes of copper and oxygen atoms suggests that the lower effective dimensionality of the system may be the factor that overcomes the difficulties that had been predicted in reaching high transition temperatures. In fact, there had been suggestions as early as 1964 that one-dimensional organic molecules might be a possible route to room-temperature superconductivity. One aspect of low effective dimensionality is that the screening of the Coulomb interaction is reduced. This has the two opposite effects of increasing the strength of the electron–lattice interaction, which should favor superconductivity, and increasing the mutual repulsion of the electrons, which should inhibit the formation of Cooper pairs and thus disfavor superconductivity. The response of the system to this combination of a stronger indirect force of attraction (which may be due to effects other than the electron–phonon interaction) and a stronger direct repulsion could be a contributory factor in encouraging the electrons (or holes) to form Cooper pairs having d-wave symmetry rather than the isotropic s-wave symmetry of the elemental superconductors. The spins would again be antiparallel, but now the wavefunction would vanish as the particle separation tends to zero, reducing the energy cost of the strong short-range repulsion. Convincing experimental support for d-wave pairing has been found in a number of ingenious experiments. One of the most impressive pieces of evidence is seen in the beautiful picture on the cover of this book, which shows a scanning-tunneling-microscope image of the surface of a high-temperature superconductor. One of the copper atoms in a CuO2 plane just below the surface has been replaced by a zinc atom. Scattering of the d-wave quasiparticles from the zinc atom results in a distribution that reflects the structure of the superconducting state. In d-wave superconductors the gap parameter
is no longer a constant, but

282

Superconductivity

is anisotropic, falling to zero in the four azimuthal directions where cos 2 vanishes. These are the directions in which the impurity wavefunction, and the tunneling currents associated with it, extend farthest. While the standard BCS analysis can be readily modified to handle d-wave pairing, there are many other pieces of evidence to suggest that the BCS formalism cannot be applied to high-temperature superconductors without more drastic modification. Examples include the temperature dependence of the specific heat, the very small coherence length, and the large value of the ratio 2
ð0Þ=kTc . In Section 7.5 the BCS prediction for this ratio was shown to be 3.50, but the experimental result for HgBa2 Ca2 Cu3 O8 is 12.8 in the direction that maximizes
. It is clear that superconductivity is a phenomenon that can appear in a number of forms, and whose complete explanation requires a correspondingly wide range of theoretical approaches.

Problems 7.1 Would you characterize the BCS theory as a mean field theory in the sense discussed at the beginning of Section 3.11? If so, at what stage is the mean field approximation introduced? 7.2 An alternative approach to the finite-temperature theory of Section 7.5 involves minimizing the Helmholtz energy, hHBCS i
TS, with respect to both xk and fk , with the entropy given by X S ¼
2k ½ fk ln fk þ ð1
fk Þ lnð1
fk Þ: k

Show that this approach leads to the same expression for
ðTÞ as given in Eq. (7.5.8). 7.3 Anderson’s pseudospin formulation of the BCS theory starts by transy y forming from the pair creation operators b k ¼ c k" cy
k# to operators dey y fined by 2sx ðkÞ ¼ b k þ bk ; 2sy ðkÞ ¼ iðb k
bk Þ; 2sz ðkÞ ¼ 1
nk"
n
k# . Verify that in units where 0 ¼ 1 these operators have the commutation properties of spins as defined by Eq. (3.10.11). 7.4 Verify that when the transformation of Problem 7.3 is substituted in the BCS Hamiltonian (7.2.4) one finds a result of the form X HBCS ¼
HðkÞ
sðkÞ k

Problems

283

where H is an ‘‘effective pseudomagnetic field’’ given by X  X Vkk 0 sx ðk 0 Þ; Vkk 0 sy ðk 0 Þ; 2E^k : HðkÞ ¼ k0

k0

[The energy of this system can now be minimized by arguing in analogy with the theory of domain walls in ferromagnets.] 7.5 Prove that no material can have a macroscopic magnetic susceptibility more negative than
1=4. [Hint: consider a long cylinder held parallel to an applied field, and plot Bz as a function of position.] 7.6 Show that the fourth-order off-diagonal terms omitted from Eq. (7.3.8) have a negligible expectation value in the BCS ground state. 7.7 How does the electronic specific heat of a superconductor vary with temperature T as T tends to zero? 7.8 Provide the missing steps in the calculation that leads from Eq. (7.7.4) to Eq. (7.7.5). 7.9 The operator that describes the spin magnetic moment of the electron gas is X M ¼ B ðnk"
nk# Þ: k

In the ground state of the BCS superconductor, the magnetization vanishes. What is the minimum energy needed to create a state for which the expectation value of M is 2B ? 7.10 An exception to our general statement that an electron annihilation y operator ck only acts in partnership with a creation operator ck arises if we introduce a positron to the system. Consider a positron at rest in a BCS superconductor at zero temperature annihilating with an electron to produce two photons of total momentum 0k1 . What is the difference between the total energy they would have in the superconductor and that in a normal metal? 7.11 Now raise the temperature in problem 7.10 to T1 , so that
is reduced to
ðT1 Þ. There are now two possible answers to the problem. What are

284

Superconductivity

they, and what is the ratio of the probabilities of occurrence of these two answers? 7.12 Calculate the electronic specific heat CðTÞ for a BCS superconductor in the limit as T ! Tc , and hence find the ratio of CðTc
Þ to CðTc þ Þ as  ! 0. 7.13 How does the penetration depth  vary with temperature in a BCS superconductor as T ! Tc ? Express your answer in terms of T; Tc , and ðT ¼ 0Þ.

Chapter 8 Semiclassical theory of conductivity in metals

8.1 The Boltzmann equation We now have at our command many of the ingredients of the theory of the conduction of heat and electricity. In Section 3.9 we considered the heat current operator for phonons in a lattice, and in Section 4.6 we calculated the velocity of Bloch electrons and their dynamics in applied fields. The missing ingredients of the theory of the transport of heat or electricity, however, are the statistical concepts necessary to understand such irreversible processes. In this chapter we shall adopt the simplest attitude to these statistical problems, and begin with a discussion of the probable occupation number of a given phonon mode or Bloch state. Let us start by considering a system of independent phonons or electrons. We know that we can define operators nq and nk whose eigenvalues are integers. If, for instance, there are three phonons of wavenumber q 0 present then the expectation value hnq 0 i of the operator nq 0 will be equal to three. If the crystal is not in an eigenstate of the Hamiltonian, however, then hnq 0 i may take on some nonintegral value. If we wish to discuss the thermal conductivity of the lattice we should have to interpret the idea of a temperature gradient, and this must certainly involve some departure from the eigenstates of the lattice. We are thus obliged to consider linear combinations of different eigenstates as describing, for example, a lattice with a temperature gradient. Because there will be many different combinations of eigenstates that all give the appearance of a crystal with a temperature gradient we shall only have a very incomplete knowledge of the state of any particular crystal. We can, however, discuss the average results fq and fk that we expect to find when we make measurements of nq and nk , respectively, and can proceed to use semi-intuitive methods to derive equations that will govern their variation in time. 285

286

Semiclassical theory of conductivity in metals

If we are to include the possibility of temperature gradients we shall have to allow fq and fk to be functions of position as well as of wavenumber. This appears self-contradictory, in that phonon and Bloch states are not localized, and so one cannot attempt to specify even the approximate location of a particle if one knows its wavenumber exactly. We must thus sacrifice some precision in determining the wavenumber if we allow fq and fk to vary with position. This need not be a serious limitation provided we restrict ourselves to slowly varying functions in r-space. If for instance we consider a temperature that varies as TðrÞ ¼ T0 þ T1 cos ðqT
rÞ then we must make qT small enough that the concept of a local temperature is valid. We must certainly have a high probability that all the excitations have many collisions in traveling a distance q1 T so that they are properly ‘‘thermalized.’’ We now consider the equation of continuity for the function f , which can be the probable occupation number of either electrons or phonons. This relates the rate of change of f in the absence of collisions to the number of particles leaving an element of volume of six-dimensional k-r space. By a simple generalization of the usual three-dimensional version we find

 @f @ dr @ dk ¼
f 
f : @t @r dt @k dt Upon differentiation this becomes   @f @f dk @f @ @ dk ¼ v

f
v þ
: @t @r dt @k @r @k dt

ð8:1:1Þ

The term in brackets vanishes both for phonons and for Bloch electrons in applied fields. For phonons this is obvious, since v ¼ @!=@q, and does not depend on position while k ¼ q, the wavenumber, and is constant. For electrons dk e ¼ ðEc þ v HÞ; dt 0c and the fact that 0v ¼ @E=@k ensures this result. What remains of Eq. (8.1.1) constitutes the Liouville equation. We now specialize to consider only the steady state, in which @f =@t vanishes, but we add to the right-hand side a

8.1 The Boltzmann equation

287

term to allow for changes in f due to collisions. We then have a form of the Boltzmann equation, which states
 @f @f dk @f  v

¼ 0: @t collisions @r dt @k The spatial variation in f may be attributed solely to a variation in temperature, giving @f @f ¼ rT: @r @T We then have the following equations for the phonon and electron systems:

 @fq @fq @!
rT ¼ ð8:1:2Þ @t collisions @q @T


 @fk 1 @E @fk e @fk
rT ¼ þ ðEc þ v HÞ
: 0c @t collisions 0 @k @T @k

ð8:1:3Þ

In general these two equations are coupled, since in the presence of the electron–phonon interaction the scattering probability for the electrons depends on the phonon occupation function, and conversely. Before proceeding to an investigation of the solution of these equations in particular circumstances, we remind ourselves of the fact that applied electric fields and temperature gradients are usually rather small. If one is measuring thermal conductivity, for example, one usually wishes to determine this quantity as a function of temperature, and no accurate result could be obtained if the two ends of the sample were at widely different temperatures. The resulting currents of heat and electricity are consequently linear in E and rT. This leads us to a linearization of Eqs. (8.1.2) and (8.1.3). We expand f in powers of E and rT, and keep only the first two terms so that f ’ f 0 þ f 1: Here f 0 will represent the distribution in the equilibrium situation, and will be given by the Bose–Einstein function for phonons and the Fermi–Dirac function for electrons. By definition ð@f 0 =@tÞcollisions vanishes. We also note that for electrons f 0 depends on k only through the function E k , and so @fk0 @f 0 @E : ¼ @k @E @k

288

Semiclassical theory of conductivity in metals

It thus follows that the term v H
ð@f 0 =@kÞ also vanishes. On neglect of terms of second order of smallness we are then left with



@fq1 @t @fk1 @t








collisions

@fq0 ¼ vq
rT @T

collisions


 e @fk1 @f 0 @f 0 v H
¼ þ vk
rT þ eE : 0c k @k @T @E



ð8:1:4Þ ð8:1:5Þ

This is as far as we can conveniently go in simplifying the Boltzmann equations without specializing to a consideration of specific models and situations. We shall now proceed to investigate a few of these and attempt to see how some of the simple geometrical ideas such as the mean free path can be rescued from the complexity of the Boltzmann equation.

8.2 Calculating the conductivity of metals We now specialize to consider the electrical conductivity of a metal in which the electrons are scattered elastically by a random array of n impurities. We argue that if the positions of the scattering centers are not correlated in any way, then we can neglect coherent scattering by the array of impurities as a whole, and assume that the scattering probability between Bloch states is just the scattering probability due to a single impurity multiplied by n. This argument will be valid if the density of the impurities is low, as we can then consider our calculation as finding the first term of an expansion of the resistivity  in powers of the impurity density n. While the function ðnÞ turns out not to be analytic at n ¼ 0, the derivative d=dn does exist at this point, and so for small enough n we can write the scattering probability following Eq. (4.7.3) as Qðk; k 0 Þ ¼ n


 2 jTkk 0 j2 ðE k  E k 0 Þ: 0

The rate of change of fk will be the average net number of electrons entering state k from all other states k 0 . Making allowances for the Exclusion Principle, which will prevent an electron from entering the state k if it is already occupied, we find


@fk @t



¼ collisions

X k0

½ fk 0 Qðk; k 0 Þð1  fk Þ  fk Qðk 0 ; kÞð1  fk 0 Þ:

289

8.2 Calculating the conductivity of metals

It was shown in Section 4.7 that Qðk; k 0 ) was equal to Qðk 0 ; k), and so


@fk @t



¼ collisions

X

Qðk; k 0 Þð fk 0  fk Þ:

k0

Because energy is conserved Qðk; k 0 ) vanishes unless EðkÞ ¼ Eðk 0 Þ, and as fk0 depends only on EðkÞ we immediately verify that X k0

Qðk; k 0 Þð fk00  fk0 Þ ¼ 0:

We may thus write


@fk @t




 collisions

 @fk1 ¼ @t collisions X ¼ Qðk; k 0 Þð fk10  fk1 Þ: k0

In the absence of a temperature gradient the linearized Boltzmann equation (8.1.5) then becomes X

Qðk; k 0 Þð fk10  fk1 Þ 

k0

e @f 1 @f 0 vk H
k ¼ eE
vk k : @k @E 0c

ð8:2:1Þ

The changes, fk1 , that occur in f due to the action of the electric field are, of course, confined to the region of k-space in the vicinity of the Fermi surface. This is evident from the presence of the factor @fk0 =@E on the right-hand side of (8.2.1). For Fermi–Dirac statistics @fk0 @ ¼ @E @E ¼




1 exp ½ðE k  Þ=kT þ 1



exp ½ðE k  Þ=kT ; kTðexp ½ðE k  Þ=kT þ 1Þ2

which may be rewritten in the form @fk0 f 0 ð1  fk0 Þ : ¼ k kT @E

290

Semiclassical theory of conductivity in metals

In the limit of low temperatures @fk0 ! ðE k  E F Þ; @E

ð8:2:2Þ

the Fermi energy E F being equal to the chemical potential at zero temperature. It is then clear that fk1 is too rapidly varying a function for convenience in computation. We also note that the statement that fk1 is linear in E means that the total change in fk due to the field (Ex , Ey , Ez ) is the sum of the 1 1 1 , fk;y , and fk;z that would be produced by the three components of changes fk;x E acting separately. It is then convenient to define quantities
k;x ,
k;y , and
k;z that satisfy 1 ¼ eEx
k;x fk;x

@fk0 @E

1 1 and fk;z . More briefly we state that a vector ,k exists and similarly for fk;y such that

fk1 ¼ eE
,k

@fk0 @E

ð8:2:3Þ

and which is independent of E. Equation (8.2.1) then becomes
 @fk00 @fk0 Qðk; k Þ ,k 0  eE
 ,k @E @E k0
 e @ @f 0 @f 0 þ vk H
eE
,k k ¼ eE
vk k : 0c @k @E @E X

0

Now since fk00 ¼ fk0 for elastic scattering we may take the derivatives of fk0 outside the summation. We also note that
 @ @fk0 vk H
¼ 0; @k @E which allows us to cancel terms in eE and @fk0 =@E when we substitute back into (8.2.1). We are left with the equation X k

0

Qðk; k 0 Þð,k  ,k 0 Þ þ


 e @ vk H
,k ¼ vk : 0c @k

ð8:2:4Þ

8.2 Calculating the conductivity of metals

291

This bears no reference to the Fermi energy or to the temperature, and thus may be expected to lead to a smoothly varying function as its solution for the quantity ,k . Our object in solving the Boltzmann equation in this instance is the evaluation of the electrical conductivity tensor p in terms of the band structure and the scattering probabilities. We have already noted that the current density due to a single Bloch electron is equal to evk =, and we may then write the total current density j as X j ¼ 1 evk fk k

1

¼

X

evk fk1 ;

k

since in equilibrium no net current will flow. With use of (8.2.3) this becomes j¼

e2 X @f 0 vk ð,k
EÞ k :  k @E

As p is defined by j ¼ p
E we see that p¼

e2 X @f 0 v k ,k k :  k @E

ð8:2:5Þ

This expression includes a summation over the two spin directions. At this point we can make a connection with some pictorial concepts of transport theory by considering the conductivity of the simplest possible system – the free-electron gas in the absence of a magnetic field. In this case the conductivity tensor is by symmetry diagonal and

xx ¼ yy ¼ zz ¼ 13 Tr p ¼

e2 X @f 0 v k
,k k : 3 k @E

Also by symmetry v and , must always be parallel to k and of uniform magnitude over the Fermi surface. Because thermal energies are small compared with the typical Fermi energy we adopt (8.2.2) and replace @fk0 =@E

292

Semiclassical theory of conductivity in metals

by ðE k  E F Þ to find

xx ¼ ¼

e2 v
X ðE k  E F Þ 3 k e2 v
DðE F Þ: 3

pffiffiffi We recall that the energy density of states DðEÞ is proportional to E in the free electron gas, and that N, the total number of electrons, is given by N¼

ðEF DðEÞ dE: 0

Thus DðE F Þ ¼

3N 3N ¼ 2E F mv2

and

xx ¼

Ne2
: mv

This is similar to a formula of elementary kinetic theory which expresses the conductivity in terms of a mean free path  or a relaxation time , defined such that 1 is the probability per unit time of an electron having a collision in which it loses any momentum gained from the electric field. In such a theory one argues that at any instant an average electron has been traveling for a time since its last collision, and hence has an average extra velocity of eE =m. The system thus has a conductivity

¼

Ne2 ; m

which is equivalent to our previous expression when
is identified with v. Looking back to Eq. (8.2.5) we see that in contrast to these simple ideas the solution of the Boltzmann equation in the more general circumstances of a metal with a nonspherical Fermi surface cannot, in general, be expressed in terms of a relaxation time. It is, however, an extremely useful approximation to make when the detailed nature of the scattering is not thought to be central to the problem under investigation. This may, for example, be the

8.2 Calculating the conductivity of metals

293

case in multilayered systems, such as metallic or semiconducting superlattices. These consist of a sequence of layers of two or more different materials, with each layer perhaps a few nanometers thick. At the interface between two different layers, there is in general a mismatch in the electronic band structure. Disorder due to interdiffusion of atoms across the interface may also lead to significant scattering. A lack of precise information about the form of the interface scattering can then make it unnecessary to worry about the lesser errors introduced by the relaxation-time approximation, which corresponds to writing


@fk @t



¼

collisions

fk1

in the Boltzmann equation. When this approximation is not valid one must return to a calculation of ,k , which is known as the vector mean free path of the Bloch electrons, it being a natural generalization of the  of kinetic theory. When the system is spatially inhomogeneous on a macroscopic scale, there will be spatial derivatives in the Boltzmann equation. As a consequence, the distribution function will depend on r as well as on k, in mild violation of the Uncertainty Principle as discussed at the beginning of this chapter. The simplest such system is a thin film, which also happens to be an important subject in such practical applications as the technology of integrated circuits. The conducting paths connecting different circuit elements are films of Cu or Al with thicknesses ranging from a few to a few tens of nanometers. In order to model the transport properties of such thin films correctly, we must include scattering at the boundaries. With the film thickness d along the z-axis and with an electric field along the x-axis, the linearized Boltzmann equation is @fk1 ðzÞ @fk0 fk1 ðzÞ vz þ eEvx : ¼ @z @E For simplicity, we are here using the relaxation-time approximation and are also assuming that the film is homogeneous in the xy plane. We again remove the inconveniently rapidly varying part of fk1 by defining a new smoother function hk ðzÞ, just as we did in Eq. (8.2.3), and writing fk1 ðzÞ ¼ hk ðzÞ

@fk0 : @E

294

Semiclassical theory of conductivity in metals

The Boltzmann equation in terms of hk ðzÞ is then @hk ðzÞ hk ðzÞ v eE þ ¼ x : @z vz vz In order to solve this equation we shall need to stipulate the boundary conditions for hk ðzÞ. A simple set of such conditions, which seems to work rather well in most practical applications, was given by Fuchs and Sondheimer. Their idea was that an electron incident on a boundary has a probability S of being specularly reflected. In such a reflection, the momentum of the electron parallel to the surface is conserved, and the momentum perpendicular to the boundary changes sign but preserves its magnitude. The energy of the electron is conserved. In addition, there will be nonspecular scattering due to imperfections at the surface, and so we assume that the electron has a finite probability D ¼ 1  S of being diffusively reflected in a process in which only energy is conserved as the electron moves away from the surface after the reflection. In general, we may not know precisely how the electron is scattered diffusively. Usually one assumes that the distribution after a diffuse reflection is the equilibrium distribution for electrons moving away from the boundary. This is convenient for subsequent calculations of the total current, since the electrons that have scattered diffusively do not contribute to the total current. With these Fuchs–Sondheimer boundary conditions, the solutions will be different for electrons traveling in the positive and negative z-direc tions. Let us denote by hþ k ðzÞ and hk ðzÞ the distribution functions of electrons of wavevector k and position z with vz > 0 and vz < 0, respectively. We can then write @h h ðzÞ v eE k ðzÞ  k ¼ x : @z jvz j jvz j The general solution for h k ðzÞ is  z=ð jvz jÞ h : k ðzÞ ¼ evx E ½1  Fk e

The coefficients Fk are to be determined using the boundary conditions. These are  hþ k ðz ¼ 0Þ ¼ Shk ðz ¼ 0Þ þ h k ðz ¼ dÞ ¼ Shk ðz ¼ dÞ:

8.3 Effects in magnetic fields

295

We can then calculate the current density and conductance of the system. Here we state only the qualitative result without going through the details. If the specularity coefficients at the boundaries are not unity, there is current lost near the boundaries due to diffuse reflections. If the thickness d is less than or of the order of the elastic mean free path, the effect is an apparent increase in the resistivity of the material. As the system thickness d becomes greater than the elastic mean free path, the increase in resistivity becomes less and less important, and the resistivity approaches that of bulk material. As an example, in Cu the mean free path at room temperature is of the order of 20 nm. Therefore, the increase in resistivity can be quite appreciable for films of thickness 10 nm or less. We note that if S ¼ 1, so that the electrons are reflected perfectly at the boundaries, a film of any thickness will have the same effective resistivity as bulk material since in this case there is no reduction in current density due to diffuse reflection at the boundaries. In real applications, the specularity coefficient S is generally quite low (close to zero) at the interface between a metal and either vacuum, metal, or insulator because of roughness and diffusion across the interface.

8.3 Effects in magnetic fields The presence of the magnetic field term in the Boltzmann equation is a great complication, and makes the evaluation of the conductivity tensor a difficult task. The k-vectors of the Bloch electrons now follow orbits around the Fermi surface as described in Section 4.6, until they are scattered to some new k-state to start their journey again. At the same time they are accelerated by the electric field, but then have their extra velocity reversed as the magnetic field changes their direction of motion. We shall here outline in the briefest possible manner the formal solution for the conductivity tensor, and then indicate a few qualitative conclusions that may be drawn from it. Let us first abbreviate the Boltzmann equation (8.2.4) by noting that the left-hand side is a sum of two terms, each of which represents an operator acting on ,. We could thus rewrite (8.2.4) as S,k  i!W,k ¼ vk

ð8:3:1Þ

with S and W operators and ! the cyclotron frequency, eH=mc. In the absence of a magnetic field the vector mean free path is then the solution of S,0k ¼ vk :

296

Semiclassical theory of conductivity in metals

If we define a new operator T equal to S 1 W then we can rewrite (8.3.1) as ð1  i!TÞ,k ¼ ,0k :

ð8:3:2Þ

The operator T has a complete set of eigenfunctions and real eigenvalues l , and so we can solve by expanding ,0k in terms of these. This allows us to invert (8.3.2), substitute the solution for ,k into the expression (8.2.5) for the conductivity, and find an expression of the form

 ¼

X l

ðlÞ  ; 1  i! l

ð8:3:3Þ

ðlÞ where the  are numbers that depend on the band structure, the direction of H, and the form of the scattering, but are independent of the magnitude of H. If we choose axes so that when H ¼ 0 the conductivity tensor is diagonal it ðlÞ ðlÞ happens that the diagonal  are real while the off-diagonal  are pure imaginary. One can then make simplifications of the form

 ¼

X l

ðlÞ  ; 1 þ !2 l2

 ¼

ð6¼ Þ

ðlÞ X i! l  : 1 þ !2 l2 l

ð8:3:4Þ

An added complication that has to be considered is that in an experiment the current is constrained by the boundaries of the sample to lie in a certain direction. The total electric field acting on the sample must then be in such a direction that p
E conforms with the sample geometry. There are thus electric fields set up in the sample whose direction is not within the control of the experimenter, and it is these that must be measured when a given current is flowing. One thus measures the resistivity tensor, o, which is the inverse of the conductivity tensor. The diagonal elements of p are functions of !2 , and are thus unchanged when the magnetic field is reversed. The same is true for the diagonal elements of o. One defines the magnetoresistance  as the increase in  as a function of the magnitude and orientation of H. This quantity is proportional to !2 at low fields. When H is in the -direction then  ð!Þ   ð0Þ is said to be the longitudinal magnetoresistance, while the transverse magnetoresistance is measured with H ¼ 0. The fact that the magnitude of H occurs only in the combination ! l gives rise to the approximation known as Kohler’s rule. One argues that if Qðk; k 0 ) were increased in the same proportion as H the products ! l would be unchanged, and the magnetoresistance would remain the same proportion of the zero-field resistance.

8.3 Effects in magnetic fields

297

Thus one should be able to find some function F such that for a wide range of impurity concentration


 H  ¼  ð0ÞF :  ð0Þ In practice deviations occur from this rule, as it is not possible to alter the scattering without altering various other factors such as the electron velocities. The off-diagonal elements of p are odd functions of !, and thus are changed in sign when the magnetic field is reversed. The off-diagonal elements of o, on the other hand, are neither odd nor even in !. In the particular case where H is perpendicular to j the presence of these terms constitutes the Hall effect. Let us now change to a coordinate system in which H is in the z-direction and j in the y-direction, and expand xy in powers of Hz , so that xy ð!Þ ¼ xy ð0Þ þ RHz þ SHz2 þ    : In this expression R is known as the Hall coefficient, while the term in Hz2 is responsible for the so-called transverse-even voltage, which does not change sign when the magnetic field is reversed. One sometimes calls S the transverse-even coefficient for low fields. Some interesting effects occur at high fields, where from (8.3.4) it appears at first glance that all elements of p become small. This will be the case unless one of the l should be equal to zero, in which case the diagonal elements of p ð0Þ . To see when this situation will arise we look will tend to a constant value  back to the definitions of T and W in (8.3.2), (8.3.1), and (8.2.4). The presence of a term equivalent to H @=@k in W (and hence in T) gives the obvious answer that T acting on a constant always vanishes. However, if we are to expand ,ð0Þ in eigenfunctions of T we do not expect to find any constant vector as a component of ,ð0Þ , since by symmetry there is no preferred direction on an orbit of the type  in Fig. 4.6.5. However, when we look at the open orbits , we see that it would be possible for ,ð0Þ to be a different constant on each part of the orbit without violating any symmetry requirements. Physically we could say that the magnetic field is incapable of reversing the velocity of the electrons on these orbits, and so they contribute an anomalously large amount to the conductivity in high magnetic fields. The transverse magnetoconductivity at high fields can thus give information about the topology of the Fermi surface. We also note that symmetry does

298

Semiclassical theory of conductivity in metals

not exclude constant components of ,0k in the direction of H, as shown in Fig. 8.3.1, from contributing to the current. This means that when H is in the z-direction, zz will again tend to a constant at large magnetic fields. We note, incidentally, that the free-electron metal with an isotropic scattering probability is a pathological case and is of little use as a model in which to understand magnetoresistance. This arises from the fact that ,ð0Þ is composed of only two eigenfunctions of T in this case, and they both share the same eigenvalue , which we can identify with the relaxation time defined as in Section 8.2. Then, because the conductivity is of the form 1 0 1 ! B 1 þ !2 2 1 þ !2 2 0 C C B C B 1 p ¼ 0 B ! C; 0 C B A @ 1 þ !2 2 1 þ !2 2 0

0

1

Figure 8.3.1 The component of the vector mean free path in the direction of the applied magnetic field contributes a term to the conductivity tensor that always causes the longitudinal magnetoresistance to saturate.

299

8.4 Inelastic scattering and the temperature dependence of resistivity

the resistivity tensor is 0

1

B o ¼ 01 @ ! 0

!

0

1

1

C 0A

0

1

and shows no magnetoresistance. One must thus at least generalize to the case of two parabolic bands to find a nonvanishing magnetoresistance.

8.4 Inelastic scattering and the temperature dependence of resistivity The theory of the electrical conductivity of metals presented in Section 8.2 was based on the assumption that only elastic scattering occurred between Bloch states. At temperatures different from zero this assumption will not be valid, since then the electron–phonon interaction will cause electrons to be scattered between Bloch states with the emission or absorption of phonons. The matrix elements that appear in the expression for the scattering probability will be those of the electron–phonon interaction, and are functions of the occupation of the phonon states as well as of the Bloch states. We shall write the scattering probability between states to first order as Pð1; 2Þ ¼

2 jh1jHep j2ij2 ðE 1  E 2 Þ 0

ð8:4:1Þ

where now j1i and j2i are descriptions of all the nk and all the nq of particular many-body states, and E 1 and E 2 the corresponding energies. In lowest order Hep ¼

X kk

Mk 0 k cyk 0 ck ðaq þ ayq Þ

0

with q ¼ k 0  k, suitably reduced to lie within the first Brillouin zone. This interaction changes the state of the metal by scattering the electron from k to k 0 and either absorbing a phonon of wavenumber q or emitting one of wavenumber q. The corresponding Born approximation for the scattering probability is found on substitution in (8.4.1) to be 2 jMkk 0 j2 hcyk ck 0 cyk 0 ck ayq aq iðE k 0  E k  0!q Þ 0 2 jMkk 0 j2 hnk ð1  nk 0 Þnq iðE k 0  E k  0!q Þ ¼ 0

Pðk; k 0 Þ ¼

300

Semiclassical theory of conductivity in metals

when a phonon is absorbed and Pðk; k 0 Þ ¼

2 jMkk 0 j2 hnk ð1  nk 0 Þð1 þ nq ÞiðE k 0  E k þ 0!q Þ 0

when a phonon is emitted. The collision term in the Boltzmann equation for the electrons (8.1.5) will then be of the form
 X 2 @fk ¼ jMkk 0 j2 f fk ð1  fk 0 Þ½ fq ðE k 0  E k  0!q Þ 0 @t collisions k0 þ ð1 þ fq ÞðE k 0  E k þ 0!q Þ  fk 0 ð1  fk Þ ½ fq ðE k 0  E k þ 0!q Þ þ ð1 þ fq ÞðE k 0  E k  0!q Þg: This very complicated expression can be simplified by a number of steps, but still remains difficult to interpret even within the framework of the freeelectron model. One customarily assumes the phonon distribution to be in equilibrium so that fq may be replaced by the Bose–Einstein distribution fq0 . A numerical solution of the Boltzmann equation with H ¼ 0 then shows that the mean free path ,, defined as before, has a ‘‘hump’’ in it at the Fermi surface (Fig. 8.4.1). This reflects the fact that it is no longer possible to eliminate the chemical potential from the Boltzmann equation. We shall leave the details of such a calculation to the more specialized texts, and simply examine the qualitative nature of the scattering and the

Figure 8.4.1 The inelastic nature of the scattering of electrons by phonons causes the mean free path to be a few per cent greater within the thermal thickness of the Fermi surface than elsewhere.

8.4 Inelastic scattering and the temperature dependence of resistivity

301

Figure 8.4.2. Scattering of an electron by absorption or emission of a phonon takes the electron onto one of the two surfaces defined by the energy-conservation relation E k 0 ¼ E k  0!q .

electrical resistance it causes. Firstly we note that an electron in state k is not scattered onto a surface of constant energy E k 0 ¼ E k , but onto one of two surfaces slightly displaced in energy from it, so that E k 0 ¼ E k  0!q (Fig. 8.4.2). If we were to make the approximation that the scattering is elastic, we should misrepresent the effect of the Exclusion Principle, in that some phonon emission processes are forbidden because of the low energy of the final electron state. However, only electrons within about kT of the Fermi surface can be scattered, and they would have to lose more than kT in energy to be scattered into a region where fk 0 was close to unity. Since we do not expect to find many phonons present in equilibrium with energy more than kT, we can argue that the approximation only introduces a small error. Secondly we recall that the scattering matrix element will be proportional to the change in density in the sound wave, i.e., to qyq , where yq is the amplitude. For a harmonic oscillator the average potential energy is half the total, and so 1 2 ðnq

þ 12Þ0!q  12 m!2q y2q ;

or


nq qyq / q !q

1=2

/ ðqnq Þ1=2 for long waves, for which !q / q. Thus at low temperatures, when long waves are most important, we can make the approximation Qðk; k 0 Þ / qfq0 ðE k  E k 0 Þ

302

Semiclassical theory of conductivity in metals

where q ¼ jk 0  kj: In calculating ,k from the Boltzmann equation we should then write X

q fq0 ðE k  E k 0 Þð,k  ,k 0 Þ / vk :

k0

The principal contribution to the difference between ,k and ,k 0 will be a change in direction, and one may then argue that the contribution of ,k  ,k 0 to the sum will be about the same as ,k ð1  cos kk 0 Þ, where  is the angle between ,k and ,k 0 . For low temperatures it will only be small  that will be important, and then 2 0 1  cos kk 0 ’ 12 kk

/ q2 : Equation (8.2.1) is thus of the form ,k

X k

q3 fq0 ðE k  E k 0 Þ / vk :

0

The delta-function in energy restricts the sum to a surface in k-space. Changing the sum to an integral we find ð ,k

q3 fq0 q dq / vk :

Since fq0 is a function of 0!q =kT, which for small q is proportional to q=T, we find the integral over q to be proportional to T 5 ; then
, and hence the conductivity, is proportional to T 5 . At high temperatures, on the other hand, the Bose–Einstein function fq0 may be approximated by kT=0!q . The detailed shape of the scattering probability is then unimportant, as the temperature only enters the Boltzmann equation through the function fq0 . If fq0 is proportional to the temperature then
must vary as T 1 . The resistivity of a pure metal should thus be proportional to T 5 at low temperatures and to T at high temperatures. This prediction appears to be verified experimentally for the simple metals, but not for transition metals such as nickel, palladium, platinum, rhenium, and osmium. In these elements electron–electron

8.4 Inelastic scattering and the temperature dependence of resistivity

303

scattering appears to play a major role in limiting the current and in leading to a resistivity that varies as T 2 rather than T 5 . When both impurities and phonons are present the total probability of scattering from a Bloch state will be approximately the sum of the two scattering probabilities taken separately. This is so because the inelastic scattering by phonons will connect the state k with final states k 0 which are different from those entered by elastic scattering. The two processes must be considered incoherent, and one adds the scattering probabilities rather than the scattering amplitudes. This leads to Matthiessen’s rule, which expresses the idea that the electrical resistivity can be considered as a sum of two independent parts, one of which is a function of the purity of the metal and the other a function of temperature characteristic of the pure metal; i.e.,  ¼ i þ 0 ðTÞ: The addition of further impurities to a metal is then predicted to displace the curve of ðTÞ and not to alter its shape (Fig 8.4.3). In practice deviations of a few percent occur from this rule as a consequence of a variety of effects. Adding impurities, for example, may change the phonon spectrum, the electron–phonon interaction, or even the shape of the Fermi surface, while raising the temperature introduces the ‘‘hump’’ of Fig. 8.4.1 in
, which, in turn, changes the resistance.

Figure 8.4.3 Matthiessen’s rule predicts that addition of impurities to a metal has the effect of increasing the resistivity  by an amount that does not depend on the temperature.

304

Semiclassical theory of conductivity in metals

8.5 Thermal conductivity in metals One recognizes a metal not only by its large electrical conductivity but also by its large thermal conductivity. This indicates that the electrons must play an important role in the transport of heat – a fact which is at first surprising when one remembers the small heat capacity of the electron gas. The importance of the electrons lies in their long mean free paths and in the high velocities with which they travel, which more than compensate for their small heat capacity when compared with the phonon system. Just as the electric current density was calculated from the expression j¼

e X v f ;  k k k

ð8:5:1Þ

so one can write the energy current density u 0 as u 0 ¼ 1

X

E k vk fk :

k

This, however, is not the same thing as the heat current density u of the electrons, as can be seen by picturing the arrival at one end of a piece of metal of an electron of zero energy. As the only unoccupied k-states would be those with energy close to E F , all the thermally excited electrons would have to donate a small amount of their thermal energy to the new arrival, with the net result that the electron gas would be cooled; a zero-energy electron thus carries a large amount of coldness! We consequently have to measure E k relative to some carefully chosen reference energy. This is the same problem that we encountered in Section 3.3. There we saw that the appropriate zero of energy is the chemical potential ; adding an electron of energy to the metal does not change the temperature of the system. This can be stated in thermodynamic terms by noting that @F ¼ ; @N with F the Helmholtz energy. We accordingly write the heat current density due to the electrons as u ¼ 1

X k

ðE k  Þvk fk :

ð8:5:2Þ

8.5 Thermal conductivity in metals

305

The flow of heat resulting from the presence of any combination of fields and temperature gradients may now be calculated from the linearized Boltzmann equation (8.1.5). The thermal conductivity, for example, may be found by putting H and E equal to zero to obtain the equation


@fk1 @t




 collisions

 @fk0 ¼ vk
rT : @T

ð8:5:3Þ

Strictly speaking, the thermal conductivity tensor i is defined by the equation u ¼ i
rT

ð8:5:4Þ

under the condition that j rather than E be equal to zero. This only adds a very small correction, however (Problem 8.5), and so we shall neglect it here. We then proceed in analogy with the discussion of electrical conductivity given in Section 8.2. This time we define a vector mean free path by putting fk1 ¼ ðE k  Þ

rT @f 0
,k k : T @E

ð8:5:5Þ

Then since
 @fk0 E  @f 0 ¼ ; T @T @E we find that when we consider only elastic scattering all the arguments used in Section 8.2 apply and we end up with the identical equation for
k . Since from Eqs. (8.5.2) and (8.5.5) the heat current density is u ¼ 1

X k

ðE k  Þ2 vk

rT @f 0
,k k ; T @E

ð8:5:6Þ

then from Eq. (8.5.4) 0 1 X 2 @fk i¼ : v , ðE  Þ T k k k k @E

ð8:5:7Þ

The fact that for elastic scattering it is identically the same ,k that occurs in Eq. (8.5.7) as occurred in the Eq. (8.2.5) that defined the electrical conductivity leads us to the remarkable Wiedemann–Franz law. We recall from

306

Semiclassical theory of conductivity in metals

Section 2.1 that a summation over allowed values of k can be replaced by an integration over k-space, so that for any well behaved function AðkÞ X

AðkÞ ¼

k

2 ð2Þ3

ðð AðkÞ dE

dSk ; 0vk

ð8:5:8Þ

the first factor of 2 arising from the sum over spin directions, and dSk representing an element of area of a surface in k-space of constant energy E. If the functions vk and ,k do not have any unusual kinks at the Fermi surface, then when Eq. (8.5.7) is changed into a double integral in the manner of Eq. (8.5.8) the result may be factorized to obtain 1 i¼ 3 4 T

ð

vk ,k dSk 0vk

ð

ðE  Þ2

@f 0 dE: @E

ð8:5:9Þ

This is possible because the presence of the term df 0 =@E has the consequence that the integrand is only appreciable within the thickness kT of the Fermi surface. Since for a typical metal at room temperature kT=EF has a magnitude of 102 or less, then vk and ,k can to a good approximation be considered independent of energy when the integration over E is performed. Similar arguments applied to Eq. (8.2.5) yield e2 p¼ 3 4

ð

v k ,k dSk 0vk

ð

@f 0 dE: @E

ð8:5:10Þ

The function @f 0 =@E has the shape shown schematically in Fig. 8.5.1(a), while ðE  Þ2 @f 0 =@E is the double-humped curve of Fig. 8.5.1(b). Both functions may be integrated by extending the limits to 1, and one finds the results 1 and (kTÞ2 =3, respectively. Comparison of Eqs. (8.5.9) and (8.5.10) then yields the Wiedemann–Franz law, which states that i ¼ LTp

ð8:5:11Þ

where L is known as the Lorenz number, and in our simple calculation is equal to L0 ¼

2 k 2 ; 3e2

ð8:5:12Þ

8.5 Thermal conductivity in metals

307

Figure 8.5.1 (a) The expression for the electrical conductivity contains the factor @f 0 =@E, and thus samples the electron distribution in the immediate vicinity of the Fermi surface. (b) The thermal conductivity of a metal, on the other hand, involves the double-humped function (E k  Þ2 @f 0 =@E, and measures , immediately below and above the Fermi energy. (c) If the mean free path varies appreciably over the energy range from  kT to þ kT then the Lorenz number deviates from its usual value.

which has the value 2:45 108 V2 K2 . We deduce from this result that i is directly proportional to T at low enough temperatures, since the electrical conductivity then tends to a constant in the absence of superconductivity. The Wiedemann–Franz law is obeyed to within a few percent by most good metals at most temperatures. Deviations occur whenever the mean free path becomes a function of energy, as may be seen by a glance back at Fig. 8.5.1. The electrical conductivity contains the factor @f 0 =@E, and thus reflects the mean free path at the Fermi energy . The thermal conductivity, on the other hand, contains the factor shown in Fig. 8.5.1(b), and thus measures ,k at energies slightly below and slightly above . If ,k had a dip in it at the energy E ¼ , as indicated in Fig. 8.5.1(c), then the calculation of p would sample a lower value of j,k j than would the calculation of i, and the Lorenz number L would show a positive deviation from the value L0 that we previously derived. We should expect deviations in particular in alloys that exhibit the

308

Semiclassical theory of conductivity in metals

Kondo effect discussed in Chapter 11, as well as in any situation where inelastic scattering can occur. Because an electron loses or gains energy 0 !q in scattering by phonons, one generally observes deviations of L from L0 as the temperature is increased from zero, and the electron–phonon interaction gradually takes over from the impurity potentials as the dominant scattering mechanism. At temperatures much greater than the Debye temperature it will be the case that kT  0!q for all phonons, and it again becomes a good approximation to consider the scattering as elastic. Then the Lorenz number returns to its ideal value, L0 .

8.6 Thermoelectric effects In the preceding section we calculated the heat current density u that results in a metal when a temperature gradient exists. It is a simple matter to extend this calculation to find the heat current density caused by the application of an electric field alone. Substitution of Eq. (8.2.3) in Eq. (8.5.2) yields the result u¼

e X @f 0 ðE k  Þvk ,
E:  k @E k

ð8:6:1Þ

The existence of this heat current is known as the Peltier effect. The Peltier coefficient & is defined as the ratio of the heat current to the electric current induced in a sample by a weak electric field in the absence of temperature gradients. Let us write Eq. (8.6.1) in the form u ¼ r
E

ð8:6:2Þ

and evaluate the components of the tensor r by changing the sum over k-states into a double integral in the manner of Eq. (8.5.8). We find r¼

e 43

ð

ðE  Þ

@f 0 dE @E

ð

vk ,k dSk : 0vk

ð8:6:3Þ

We then immediately see that r is a very small quantity, for if we make the assumption that the integral over dSk is independent of energy then the whole expression vanishes, as (E  Þð@f 0 =@EÞ is an odd function of E  . This is illustrated schematically in Fig. 8.6.1, which shows the electron distribution

8.6 Thermoelectric effects

309

Figure 8.6.1 Although all the electrons in the region between A and B carry an electric current of approximately the same magnitude in the same direction, the heat current carried by those between A and C is almost exactly cancelled by those between C and B.

shifted in k-space by the action of the electric field. By symmetry the net electric and thermal currents are carried by those electrons between the points marked A and B. Because all these electrons are moving with approximately the Fermi velocity they all contribute a similar amount to the electric current. This is not the situation with the heat current, however, for those electrons between A and C have energies less than , and carry a current of coldness that almost cancels the positive heat current of the electrons between C and B. We thus have to take into account the energy dependence of vk and ,k , and so we make a Taylor expansion to first order of the integral over dSk in Eq. (8.6.3). We write ð

v k ,k dSk ’ 0vk

ð

vk ,k dSk 0vk



 ð  d v k ,k þ ðE  Þ dSk dE 0vk E¼ E¼

and substitute this in Eq. (8.6.3). The energy integral that survives is identical to that in Eq. (8.5.9), and so we find  ð  e ðkTÞ2 d vk ,k dSk : r¼ 3 4 dE 3 0vk E¼

ð8:6:4Þ

310

Semiclassical theory of conductivity in metals

The fact that Eq. (8.5.10) can be written in the form ð

v k ,k 43 dSk ¼ 2 p 0vk e

is sometimes made use of to put Eq. (8.6.4) in the form r¼

ðkTÞ2 @p : 3e @

ð8:6:5Þ

The derivative @p=@ is taken to mean the rate of change of conductivity with Fermi energy when it is assumed that the scattering and band structure remain constant. It is very important to realize that @p=@ cannot be found simply by adding more electrons to the metal and measuring the change in resistance; as we saw in Section 6.4, certain kinks in the band structure and in the scattering are linked to the position of the Fermi energy, and would be altered by the addition of extra electrons. Since u ¼ r
E and E ¼ p1
j, we can use Eq. (8.6.5) to write the Peltier coefficient (defined by u ¼ &
j) in the form &¼

L0 eT 2 @ ln p ; @ ln

ð8:6:6Þ

with L0 the ideal Lorenz number given in Eq. (8.5.12). For a material with a scalar conductivity (as, for example, a cubic crystal) the dimensionless quantity ¼

@ ln

@ ln

ð8:6:7Þ

is a useful measure of the Peltier effect. It is generally of the order of magnitude of unity (Problem 8.7) but is extremely sensitive to the type of scattering. Alloys exhibiting the Kondo effect, for instance, have anomalously large Peltier coefficients as a consequence of the strong energy dependence of the scattering due to magnetic impurities. In the same way that we calculated the heat current caused by an applied electric field we can investigate the electric current that results from the presence of a temperature gradient. On substituting Eq. (8.5.5) into Eq. (8.5.1) we find j¼

e X @f 0 ðE k  Þvk ,
rT: T k @E k

ð8:6:8Þ

8.6 Thermoelectric effects

311

In an isolated piece of metal charge will move to one end of the sample until an electric field E is built up that is just sufficient to induce an equal and opposite current that cancels that given by Eq. (8.6.8). The presence of this field constitutes the Seebeck effect; the ratio of E to rT is known as the absolute thermoelectric power or thermopower of the metal. If we write Eq. (8.6.8) in the form j ¼ t
rT

ð8:6:9Þ

then the thermopower S is equal to p1
t. We fortunately do not need to spend much time analyzing the Seebeck effect, for the thermopower S is related to the Peltier coefficient & in a very simple way. Comparison of t [as defined by Eqs. (8.6.8) and (8.6.9)] with r [as defined by Eqs. (8.6.1) and (8.6.2)] yields the result r ¼ Tt or more generally & ¼ T S~

ð8:6:10Þ

with S~ the transpose of S. A relationship of this kind was first derived by Lord Kelvin by arguments that are still appealing, but alas, no longer respectable. It is now thought of as an example of one of the Onsager relations that form the basis of the macroscopic theory of irreversible processes. From Eqs. (8.6.6) and (8.6.10) one can write
 L0 eT @ ln p S¼ : @ ln For a cubic metal this becomes S¼

L0 eT :

ð8:6:11Þ

As is generally a few electron volts and  is of the order of magnitude of unity one finds that thermopowers in metals at room temperature have magnitudes of a few microvolts per kelvin. In semimetals such as bismuth, where is small, the thermopower is correspondingly larger. The proportionality of S to the absolute temperature suggested by Eq. (8.6.11) is dependent on  being independent of T. Because impurity scattering and phonon scattering may lead to completely different expressions for  it is not uncommon for even the sign of S to change as the temperature of the

312

Semiclassical theory of conductivity in metals

sample is changed. Thus dilute AuMn alloys have thermopowers that at the lowest temperatures are positive (i.e., a negative value of , the electronic charge e being considered negative in Eq. (8.6.11)), but which become negative as the temperature is raised above a few kelvin. Before leaving the topic of thermoelectric effects we should briefly consider an effect that occurs when phonon Umklapp processes are rare. One mechanism we have considered by which an electron can be scattered is the electron– phonon interaction, a phonon being created that carries off some of the momentum of the electron. We have implicitly been assuming that the momentum carried by this phonon is rapidly destroyed, either by a phonon Umklapp process or by scattering by lattice imperfections and impurities. In mathematical terms we have been uncoupling the Boltzmann equation for the phonons (Eq. (8.1.2)) from that for the electrons (Eq. (8.1.3)) by assuming the phonon relaxation time ph to be very short. If this assumption is not valid then we must include in our computation of the heat current density the contribution of the perturbed phonon distribution. This added contribution to the Peltier coefficient (and hence also to the thermopower) is said to be due to phonon drag, the phonons being thought of as swept along by their interaction with the electrons. Such effects are negligible at very low temperatures (when there are few phonons available for ‘‘dragging’’) and at high temperatures (when phonon Umklapp processes ‘‘anchor’’ the phonon distribution) and thus cause a ‘‘hump’’ in the thermopower of the form shown in Fig. 8.6.2 at temperatures in the neighborhood of =4.

Figure 8.6.2 In very pure specimens the phenomenon of phonon drag may contribute appreciably to the thermopower at temperatures well below the Debye temperature.

313

Problems

Problems 8.1 When a certain type of impurity is added to a free-electron gas of Fermi energy E F it is found that jTkk 0 j2 is approximately constant, so that Qðk; k 0 Þ ’ constant ðE k  E k 0 Þ: How does the electrical conductivity, , of this system vary with E F ? [Hint: In Eq. (8.2.4) the summation over k 0 may be replaced by an integral over k 0 -space. That is ð X  ! 3 dk: 8 k Also ð

dk !

ð

dS j@E=@kj

ð dE;

where dS is an element of a surface of constant energy.] 8.2 With another type of impurity one finds that the scattering probability of Problem 8.1 is modified to the form Qðk; k 0 Þ ¼ ðk  k 0 ÞðE k  E k 0 Þ; where ðk  k 0 Þ ¼ and t



constant if jk  k 0 j  t 0

if jk  k 0 j > t

kF , the Fermi radius. How does vary with E F now?

8.3 The probability of an electron being scattered from k to k 0 with the emission of a phonon q of energy 0!q is proportional to fk ð1  fk 0 ) ð1 þ fq Þ, while the probability of the reverse process occurring, in which an electron scatters from k 0 to k with the absorption of a phonon is proportional to fk 0 ð1  fk Þfq . Are these expressions equal in equilibrium? 8.4 A monovalent simple cubic metal has the lattice potential 2Vðcos gx þ cos gy þ cos gzÞ;

314

Semiclassical theory of conductivity in metals

and a magnetoresistance which is found to saturate for all directions of the applied magnetic field B. The effect of a small strain on this metal, however, is to cause the magnetoresistance no longer to saturate for certain directions of B. Estimate V, explaining your reasoning carefully. 8.5 Express the exact thermal conductivity i 0 (defined as the solution of Eq. (8.5.4) when j ¼ 0) in terms of p, S, and the approximate value i given by Eq. (8.5.4) when E ¼ 0: 8.6 Is it meaningful to discuss ‘‘the limiting value of S=T for pure silver as T ! 0,’’ where S is the thermopower? If not, why not? 8.7 Calculate the thermopowers of the metals defined in Problems 8.1 and 8.2. 8.8 An alternative approach to the kinetic theory mentioned in Section 8.2 argues that each electron receives an extra velocity of eE =m by the time it has a collision, and thus has an average drift velocity over a long time of eE =2m. How can this apparent contradiction be resolved? 8.9 The room-temperature resistivity of Cu is about 2.0 m cm. Use a simple free-electron gas model to find a relaxation time that gives you this resistivity at the right density of conduction electrons. Next, calculate the resistance of a thin Cu film by applying an electric field in the plane of the film. Use the Fuchs–Sondheimer boundary conditions to obtain a solution for the Boltzmann equation from which you can calculate the total current. What is the apparent resistivity of the film at thickness d ¼ 0:1, d ¼ 0:5, d ¼ , and d ¼ 5 (with  the mean free path) for specularity coefficients S ¼ 0, S ¼ 0:2, and S ¼ 0:8?

Chapter 9 Mesoscopic physics

9.1 Conductance quantization in quantum point contacts In Chapter 8 we discussed the Boltzmann equation and the approach to describing transport properties, such as electrical conductivity, that it provides. In general, this approach works very well for most common metals and semiconductors, but there are cases where it fundamentally fails. This happens, for example, when the wave nature of the electron manifests itself and has to be included in the description of the scattering. In this case, interference may occur, which can affect the electrical conduction. We recall that the Boltzmann equation describes the electron states only through a dispersion relation of the Bloch states of an underlying perfect crystal lattice, a probability function, and a scattering function that gives the probability per unit time of scattering from one state to another. All these quantities are real, and do not contain any phase information about the electron states. Consequently, no wave-like phenomena can be described. The question then arises as to when the phase information is important. This really boils down to a question of length scales. We have earlier talked about the mean free path of an electron, which is roughly the distance it travels between scattering events. A simple example is given by scattering off static impurities that have no internal degrees of freedom. In this case the electron scattering is elastic, since an electron must have the same energy before and after a scattering event. Furthermore, in the presence of impurity scattering the phase of an electron wavefunction after a scattering event is uniquely determined by the phase before the scattering event. The wavefunction will in general suffer a phase shift as a consequence of the scattering, but this phase shift is not random and can be calculated for any wavefunction given the impurity potential. In view of this, we will now be more careful and specifically talk about the elastic mean free path ‘e as (roughly) the distance an 315

316

Mesoscopic physics

electron travels between elastic scattering events. Note that the elastic mean free path is only weakly temperature dependent (through the temperature dependence of the Fermi distribution of the electrons). Inelastic scattering, on the other hand, randomizes the phase of the electron wavefunction. A good example is provided by electron–phonon scattering. Consider such an event within the framework of perturbation theory in the electron–phonon interaction. In the scattering process, an initial electron Bloch state and phonon couple through some interaction. For a while, there will then be some complicated intermediate state made up of a multitude of electron Bloch states and phonon modes. Eventually the system settles into a direct product of another electron Bloch state and phonons consistent with energy and crystal momentum conservation. The electron in the intermediate state can have any energy for a time consistent with the Uncertainty Principle, but the time that the electron spends in intermediate states is not well specified. When the final electron Bloch state emerges, its phase is then unrelated to the initial phase of the electron wavefunction. Thus inelastic scattering inherently makes the phase before and after the scattering event incoherent. In the presence of scattering that breaks the phase coherence, it is useful to introduce a phase breaking length ‘ . We can think of this as the distance an electron will travel while maintaining phase coherence. Since inelastic scattering is typically much more strongly temperature dependent than elastic scattering (again, think of electron–phonon scattering), one can change the phase breaking length by varying the temperature. If we make the phase breaking length comparable to, or even smaller than, the system size, we enter an area where new phenomena, due to manifestations of the wave nature of the electron states, can occur. This is the area of mesoscopic physics. ‘‘Meso’’ means something like ‘‘in the middle’’ or ‘‘intermediate,’’ and mesoscopic systems are larger than microscopic systems, which are of the order of maybe a Bohr radius and where we only have a few particles. Macroscopic systems contain perhaps 1023 particles and are very much larger than ‘e and ‘ . For a specific example, which will serve as a useful and illustrative model for making the transition from macro to meso, we consider a conductor of length L, width W, and thickness d. We start by taking L, W, and d all much greater than both ‘e and ‘ . This system is depicted in Fig. 9.1.1. In a standard experiment, to which we will return several times, we inject a current into the system by connecting it to a potential difference across two terminals, e.g., 1 and 6. We then measure the resistance by noting the voltage drop along some section of the system at a fixed net current through the system. Let us assume that we inject a current into terminal 1, and draw

9.1 Conductance quantization in quantum point contacts

317

Figure 9.1.1. A system of length L, width W, and thickness d, with attached terminals numbered as shown.

the current out at terminal 6. We can then measure the voltage across two other terminals, such as 4 and 5. It is a property of a macroscopic system that the resistance we measure across probes 4 and 5 is the same regardless of whether we inject the current into probes 1, 2 or 3. In fact, the measured resistance is the same between any two probes separated by the same distance along the flow of the current. This is precisely due to the lack of phase coherence of the electron states. When we measure the voltage between, say, probes 4 and 5, we are measuring the lowest cost in energy to remove an electron from probe 5 and inject it at probe 4. This energy is due to the difference in electrochemical potential between the probes. When we remove an electron from probe 5, its phase is completely random because of the small ‘ , and we have no way of figuring out whence (i.e., from which probe) the electron came. Similarly, an electron injected at probe 4 rapidly loses its phase and so is indistinguishable from other electrons at the electrochemical potential at that probe. Now we take our model system into the mesoscopic regime. We do this by shrinking d and W until both are less than the phase breaking length ‘ . As these lengths shrink, the energy states for motion along these directions will become discrete, with the separations between allowed energy eigenvalues growing as W
2 and d
2 , respectively. For example, if we consider periodic boundary conditions, the electron energies can be written as Eðkx ; n; lÞ ¼

02 k2x 22 02 n2 22 02 l 2 þ þ 2 ; 2me W 2 me d me

318

Mesoscopic physics

where n and l are integers. We can then separate the energy values according to which sub-band n and l they belong. For the moment we assume that d is small enough that only the lowest sub-band l ¼ 0 is occupied, and that only a small number of sub-bands n 6¼ 0 are occupied. In real mesoscopic systems, d can be of the order of one nanometer, with W ranging from perhaps a few nanometers to a few hundred nanometers. We also for now restrict our system to having only two external terminals, a source (S) and a drain (D), at which current is injected and drawn out, respectively, as in Fig. 9.1.2. These kinds of system are rather easy to fabricate at the interface (known as a heterojunction) between two different semiconductors such as GaAs and GaAlAs grown by molecular beam epitaxy. Electrons (which are supplied by donors implanted some distance away from the heterojunction) are confined to move in the plane of the heterojunction. The source and drain can be made by doping heavily with donors in some small regions. The conducting channel connecting the source and the drain can be controlled by evaporating small metallic gates in the region between them, as shown schematically in Fig. 9.1.3. By applying a negative potential, or gate voltage VG , to the gates,

Figure 9.1.2. Schematic of a simple two-terminal device. An electron injected in one terminal has a probability R of being reflected and a probability T of being transmitted through the device to the other terminal.

G S

D G

Figure 9.1.3. Schematic top view of a two-terminal device with gate electrodes.

9.1 Conductance quantization in quantum point contacts

319

the channel between source and drain through which the conduction electrons must pass can be made as narrow as we please. Heterojunctions can be grown cleanly enough to make the elastic mean free path of the order of or larger than the dimensions of the device. By cooling down to liquid-helium temperatures, the same can be achieved for the phase breaking length. By measuring the voltage VSD between source and drain as a function of the gate voltage VG at fixed current ISD , one can plot the conductance g in units of e2 =h as a function of VG . In the extreme limit where L  ‘e , the socalled ballistic limit in which electrons traverse the entire device without scattering elastically (or inelastically), one finds a remarkable result. The conductance shows a clear staircase-like behavior with steps at g ¼ Me2 =h, with M an even integer. As the device is made longer and longer, the steps become noisier and noisier until they can no longer be discerned, even though each noisy curve is reproducible if the gate voltage is ramped up and down. This kind of behavior is sketched in Fig. 9.1.4. Our first aim here is to understand the electrical conductance of this system. To this end, we first have to describe the electron states, and then how we drive a current through the system. Landauer pioneered mesoscopic physics with his insight that conduction should fundamentally be regarded as a scattering process in which we describe the electron states locally in our mesoscopic system and consider separately the means by which current is driven by an applied electrochemical potential difference. So what does this mean? Let us start with the electron states. We formally separate the mesoscopic part of the system, which we term the device and is the block of nominal length L, width W, and height d, from the terminals that are used to connect the device to the sources of electrochemical potential. Inside the device, the electron states maintain their phase coherence, since L  ‘ . The

Figure 9.1.4. Conductance g (in units of e2 =hÞ vs. gate voltage VG for a two-terminal ballistic device. At low temperatures (bold curve) the electrons pass through the device without any scattering, resulting in quantized conductance. At higher temperatures, the electrons scatter inelastically from phonons in the device, smearing out the quantization of the conductance (light curve).

320

Mesoscopic physics

two terminals of the system, S and D, are connected to very large reservoirs kept at thermodynamic equilibrium at electrochemical potentials  þ
 and , respectively. These potentials are well defined deep in the reservoirs (far away from the actual device). The reservoirs inject electrons with energies up to the respective electrochemical potentials into the device through the terminals, and electrons flowing through the device exit it into the terminals and thereby enter the reservoirs. Dissipative processes within these reservoirs quickly thermalize electrons and randomize their phases, so that electrons entering the device from the reservoirs have random phases. Consequently, interference terms between different electron states average to zero and can be ignored. The natural way to describe the electrons that enter and leave the device is by using a basis of scattering states. In the scattering theory that we learn in basic quantum mechanics, we have well defined (asymptotic) incoming and outgoing electron states, which are connected by a scattering matrix, or S-matrix. The matrix elements s of the S-matrix give the probability amplitude that an incoming electron in state  is scattered into the outgoing state . Here, we have incoming states into the device from the reservoirs through the terminals, and these states can be scattered into outgoing states from the device into the terminals and the reservoirs by some potential in the device. The assertion that different states do not interfere with one another simplifies the discussion quite substantially, since we then do not have to work with complex transmission amplitudes (the elements of the S-matrix itself), but only the real probabilities of scattering from an incoming state to an outgoing one. The incoming and outgoing states are confined by some potential VðyÞ (we can neglect the dependence on z since we are only considering the lowest sub-band of motion along z). For now, we are only considering a confining potential without any additional more complicated scattering inside the device itself. In the presence of the confining potential, the incoming and outgoing parts of the electron states can then locally be written as n;k ðx; yÞ

¼ e ikx hn ðyÞ;

ð9:1:1Þ

where n is the sub-band index, and hn ðyÞ is the transverse part of the wavefunction of the sub-band, or channel, n. This is a description of the electron states in the terminals – we do not attempt to describe the states in the device itself. The corresponding energy eigenvalue is E n;k ¼

02 k2 þ En: 2m

9.1 Conductance quantization in quantum point contacts

321

Note that this is perfectly general, and given a good model for Vð yÞ, we can determine E n . These states are solutions of the Schro¨dinger equation in the terminals, but are not appropriate scattering states. Those can be constructed by making linear combinations of the states given in Eq. (9.1.1). A state ðs; mÞ incoming from the source into the device in channel m with unit amplitude is eiksm x hs;m ðyÞ where we now also attach an index s to the sub-band wavefunction (for ease of notation we do not include the wavevector index). This will allow for generalization later, when the incoming sub-bands from different terminals are not necessarily the same. The probability that this state is scattered into an outgoing state ðd; nÞ in the drain is then Tds;nm , and the probability that the state is reflected into an outgoing state e
iksm x hs;m ðyÞ in the source is Rss;mm . The scattering is elastic, so all states connected by Tds;nm and Rss;mm have the same energy eigenvalues. Note that in the absence of an external magnetic field there must exist an outgoing state in the same terminal with the same energy but opposite wavenumber. We adopt the standard convention of positive incoming velocities, and at the same time change our convention about the sign of the charge on the electron. From now on, we shall make explicit the negative nature of this charge by writing it as
e, with e a positive quantity. The incoming current is;m carried by the state ðs; mÞ into the device is then
e @E s;m ðkÞ

: is;m ¼
evs;m ðkÞ ¼
0 @k
k¼ksm This incoming state is scattered into states that are outgoing in the terminals and carry the current out of the device. Current conservation must be strictly obeyed, so the outgoing currents in all terminals add up to the incoming current. The transmitted outgoing current in state ðd; nÞ is then evsm Tds;nm , and the outgoing reflected current in state ðs; m 0 Þ is evsm Rss;m 0 m . Suppose now that we have applied an electrochemical potential difference
 between the source and the drain, so that source and drain are at electrochemical potentials  þ
 and , respectively. With fs;m ðE k Þ denoting the occupation numbers of the incoming states, the incoming current in the source is X Is ¼
e fs;m ðE k Þvs;m : km

322

Mesoscopic physics

Similarly, the incoming current from the drain is Id ¼
e

X

fd;n ðE k Þvd;n :

kn

We can find the total current between source and drain by examining the current flowing near the source. Here, the total current consists of the difference between the net incoming current from the source (incoming from source minus current reflected into the source) and the part of the current from the drain that is transmitted to the source. The total current is then obtained by summing over all channels in source and drain: I ¼
e

X

  X X X fs;m ðE k Þvs;m 1
Rss;m 0 m þ e fd;n ðE k Þvd;n Tsd;m 0 n : m0

km

m0

kn

Current conservation dictates that incoming current minus reflected current equals transmitted current, 1


X

Rss;m 0 m ¼

m0

X

Tds;m 0 m ;

m0

so we can write the total current as I ¼
e

X km

fs;m ðE k Þvs;m

X m0

Tds;m 0 m þ e

X kn

fd;n ðE k Þvd;n

X

Tsd;m 0 n : ð9:1:2Þ

m0

We first change the sums over wavevectors to integrals. When we do that, we have to insert the density of states in k-space, which in one dimension is just a constant, 1=2. We then change the integration variable to energy and insert a factor of dk=dE due to this change. Since the velocity is proportional to dE=dk, we see that the density-of-states factor precisely cancels with the velocity in the integrals. This happens only because we can in mesoscopic physics consider separate, effectively one-dimensional, conducting channels. Because of this cancellation, all that is left in Eq. (9.1.2) are occupation numbers and transmission and reflection probabilities. All the specifics of the device, such as length and width, have disappeared. That makes the Landauer approach particularly powerful, simple, and beautiful.

9.1 Conductance quantization in quantum point contacts

323

The total current in the device is then ð ð X X X X e e dE dE fs;m ðEÞ Tds;m 0 m þ fd;n ðEÞ Tsd;m 0 n : ð9:1:3Þ I ¼
h h m m0 n m0 We now make the assumption that the driving force (in this case the electrochemical potential difference) is sufficiently small that in calculating the current we need only consider the leading term, which is proportional to
. We can then ignore the energy dependence of the transmission probabilities and evaluate them at the electrochemical potential . It is then convenient to define total transmission probabilities Tsm and Tdn for each channel by summing out the scattered channels. Thus X Tds;m 0 m Tsm  m0

Tdn 

X

ð9:1:4Þ

Tsd;m 0 n ;

m0

where it is understood that the sums are evaluated at the electrochemical potential . Using Eq. (9.1.4) we then obtain for the total current ð eX dE½ fs;m ðEÞTsm
fd;m ðEÞTdm : I ¼
h m In the absence of an external magnetic field, the system is invariant under time reversal. This imposes constraints on the S-matrix, with the consequence that Tsm ¼ Tdm  Tm . This simplifies the expression for the total current, which now becomes ð eX dE½ fs;m ðEÞ
fd;m ðEÞ I ¼
T h m m ð þ
 eX eX ¼
Tm dE ¼
T
: h m h m m  This is a remarkable and simple result: the total current is just the driving force times the transmission probability at the electrochemical potential times a universal constant. As we have discussed earlier, the voltage measured between source and drain is just the electrochemical potential difference, divided by the electron charge. The measured resistance is then Rsd ¼

=ðeIÞ ¼

2e2

h P

m

Tm

;

324

Mesoscopic physics

where the additional factor of 2 comes from the two degenerate spin directions. For the case of a ballistic channel, Tm  1, so we obtain Rsd ¼

h ; e2 M

ð9:1:5Þ

where M is the total number of channels (including spin degeneracy) connected by source and drain to the device. Equation (9.1.5) predicts a quantized conductance, just as is observed in measurements on quantum point contacts. The quantum of conductance is e2 =h, and the quantum number is M, the number of current-carrying channels in the system. For the conductance to be quantized, the channel has to be smaller than ‘e so that electrons traverse the device ballistically and Tm ¼ 1. If the channel becomes longer than ‘e , or some scatterer is introduced into the channel, the transmission probabilities will in general be less than unity, and the conductance is no longer quantized. The steps start to degrade and become noisy, but the I–V curves are retraced if the gate voltage is swept up and down. If, on the other hand, the channel is made larger than ‘ , there will be random inelastic scattering in the channel. The conductance will similarly not be quantized, but in this case there will be thermal noise on the I–V curve which will not be repeatable if the gate voltage is cycled. One may wonder how it is that a ballistic device has a finite conductance. First of all, even though there is no scattering in the device itself, there must be inelastic scattering in the reservoirs in order for the electrons to thermalize. Each channel has a finite conductance due to this contact resistance, and a mesoscopic device with a finite number of channels cannot have infinite conductance. As the number of channels grows, so does the total conductance and we recover the perfect conductor (with infinite conductance) in the limit of an infinite number of channels.

9.2 Multi-terminal devices: the Landauer–Bu¨ttiker formalism We hinted in the previous section at the fact that resistance in a mesoscopic device in general depends on which terminals are used as source and drain, and which terminals are used as voltage probes. In order to demonstrate this, we need to generalize the Landauer formula to multi-terminal devices. This generalization was developed by Markus Bu¨ttiker, and is a fundamental cornerstone of mesoscopic physics. A simple introductory example is given by a four-probe measurement, as depicted in Fig. 9.2.1. In such a measurement, the current flows between source and drain, and the electrochemical

9.2 Multi-terminal devices: the Landauer–Bu¨ttiker formalism

325

Figure 9.2.1. Schematic of a four-terminal device with current source (S) and drain (D), and two extra terminals 1 and 2.

potential difference between terminals 1 and 2 is measured. An ideal voltmeter has infinite internal resistance, and so the proper boundary condition to be imposed on terminals 1 and 2 is that the net current in (or out) of such terminals should be zero. On the other hand, there must be some well defined electrochemical potential associated with each of the probes 1 and 2 in order for a measurement of the electrochemical potential difference to make sense. Furthermore, electrons injected from one terminal into the system have in general finite probabilities of ending up at any of the other terminals. For example, electrons injected from the source may end up going into terminal 2. Since terminal 2 is also connected to a reservoir, just like the source and the drain, it too injects electrons into the system. The net current in or out of this terminal depends on the balance between incoming and outgoing currents. We can adjust this balance by changing the electrochemical potential of the reservoir to which this terminal is attached. In the end, we must then ensure that the electrochemical potentials at terminals 1 and 2 are self-consistently adjusted to yield zero net currents at these terminals. Let us now formally state this for a general multi-terminal system with terminals 1; 2; 3; . . . ; N. The terminals are in contact with reservoirs at well defined electrochemical potentials i , with i ¼ 1; 2; . . . ; N. Carriers are injected from the reservoir in all states with energies up to i into terminal i. Electrons injected from the terminals have random phases and do not interfere with one another. An electron injected in state ði; mÞ (channel m in terminal i) has a probability Tji;nm of being scattered to outgoing state ð j; nÞ (channel n in terminal j), and a probability Rii;m 0 m of being reflected into an outgoing state ði; m 0 Þ. In looking solely for the linear response, we can ignore the energy dependence of the scattering and reflection probabilities and evaluate them at a common energy 0 . We take this to be the lowest of the

326

Mesoscopic physics

electrochemical potentials i , i ¼ 1; 2; . . . ; N. Then all states in the device with energies less than 0 are occupied and do not contribute to a net current in the device (why?). Terminal i then injects a current Ii;injected ¼

Mi X

e
ði
0 Þ; h m¼1

where Mi is the total number of occupied channels at terminal i. The net current at terminal i is the difference between this injected current and the sum of the reflected current at the terminal and the current scattered into this terminal from other terminals. This net current is   X e Tij j : Ii ¼
ðMi
Rii Þi
h jð6¼iÞ

ð9:2:1Þ

P Here we have again used the definition Tij ¼ mm 0 Tij;m 0 m for the total transP mission probability and have defined Rii ¼ mm 0 Rii;m 0 m for the reflection probability, even though this risks confusion with the resistance Rij . Since the reference potential 0 is common to all reservoirs, it cancels out in Eq. (9.2.1). Current conservation dictates that the injected current in terminal i equal the reflected current and the total transmitted current to other terminals. In other words, Mi ¼ Rii þ

X

Tij :

ð9:2:2Þ

jð6¼iÞ

If we insert this into Eq. (9.2.1) we can write the net current Ii as Ii ¼


eX T ð
j Þ: h jð6¼iÞ ij i

ð9:2:3Þ

Equations (9.2.2) and (9.2.3) express current conservation at a terminal and a relation between total current and driving forces. These are the mesoscopic versions of Kirchhoff ’s Laws. Time reversal symmetry imposes constraints on the scattering matrix that connects incoming and outgoing states. In the absence of magnetic fields, we can reverse the directions of all incoming and outgoing states, and because of time reversal symmetry we must then have Tij ¼ Tji . In the presence of a magnetic field, we can reverse the direction of all velocities if we also reverse the sign of the flux  penetrating the system, so in the more general case of an

9.2 Multi-terminal devices: the Landauer–Bu¨ttiker formalism

327

applied magnetic field, we have Tij ðÞ ¼ Tji ð
Þ. This symmetry leads to a reciprocity theorem that relates resistances when the current and voltage probes are interchanged. Armed with Eqs. (9.2.1) and (9.2.3) we can now go ahead and calculate the resistance Rij;kl due to a chemical potential difference k
l between two terminals k and l when a current I flows from source (terminal i) to drain (terminal j). This amounts to solving the system of linear equations Eq. (9.2.1) for the electrochemical potentials k and l under the conditions that Im ¼ 0 for m 6¼ i; j, Ii ¼
Ij  I, and i ¼ 0 þ
, j ¼ 0 . Once we have those, the resistance Rij;kl is obtained by just using Ohm’s law. The voltage V between the terminals k and l is the electrochemical potential difference between the two terminals, divided by
e, and so V ¼

=e, and Rij;kl ¼ V=I. The currents are proportional to the applied electrochemical potential difference, so it will cancel from the expression for the resistance. In the end, the resistance will be h=e2 (which is a unit of resistance) times some combination of the transmission probabilities (which are dimensionless). We first work this out explicitly for the three-terminal case, and then sketch an approach for a general N-terminal case. So let us assume that we have a threeterminal device, with terminal 1 the source and terminal 3 the drain, and we are measuring a voltage between terminals 1 and 2. Thus, I1 ¼
I3 ¼ I, and I2 ¼ 0. We will calculate the resistance R13;12 due to the voltage between probes 2 and 1 with a current flowing from probe 1 to probe 3. Equations (9.2.1) then become 2e ½ðM1
R11 Þ1
T12 2
T13 3 h 2e 0 ¼
½ðM2
R22 Þ2
T21 1
T23 3 h 2e
I ¼
½ðM3
R33 Þ3
T31 1
T32 2 ; h I ¼


ð9:2:4Þ

where the factor of 2 comes from summing over spin channels. Using Eq. (9.2.2), we can solve for 3 from the second line in Eq. (9.2.4) to obtain 3 ¼

T21 þ T23 T 2
21 1 : T23 T23

We insert this into the third line of Eq. (9.2.4), and after collecting some factors we obtain
I ¼


2e Dð2
1 Þ; hT23

328

Mesoscopic physics

where we have defined D ¼ T31 T21 þ T31 T23 þ T32 T21 . Then R13;12 ¼


1
2 h T ¼ 2 23 : 2e D eI

Note that we could also have inserted the expression for 3 into the first line of Eq. (9.2.4) and obtained the same result. That is a consequence of having fewer independent chemical potentials than we have equations to solve. The fact that the i are overdetermined poses computational difficulties in the general case. Normally we would solve a set of linear equations like Eq. (9.2.3) by inverting a matrix, in this case the matrix e T^ij  ½ðMi
Rii Þ ij
Tij h (where it is understood that Tii ¼ 0). However, only the N
1 electrochemical potential differences can be independent, and not the N electrochemical potentials at all reservoirs, and so the system of linear equations is singular, and the matrix cannot be inverted. The approach we take to get around this difficulty is first to note the obvious fact that setting all electrochemical potentials equal will yield a solution with all currents equal to zero. What is less obvious is that there may also be other sets of electrochemical potentials that yield zero currents. These are said to form the nullspace of the matrix T^ij . Formally, the nullspace of an N  N singular matrix A consists of all N-dimensional vectors x such that A
x ¼ 0. Now these are most certainly not the solutions that we are interested in – in fact they are the problem rather than the solution! Technically, we need to separate out the ‘‘nullspace’’ from the domain of the linear mapping defined by the matrix T^ij ; that is, we need to weed out all the sets of electrochemical differences that yield all zero currents from those that yield the finite currents Ii that we have specified. A general and very powerful way of doing this (which can also be efficiently implemented on computers) is provided by a technique known as the singular value decomposition of the matrix T^ij . This involves writing T^ij as a product of three matrices, one of which is diagonal and has only positive or zero elements (these are the singular values). The nontrivial solutions for the i in terms of the currents can then, after some lengthy manipulations, be expressed in terms of another diagonal matrix that also has only positive or zero elements. Having thus formally obtained the electrochemical potentials as functions of the currents, one can calculate the resistance. While we have omitted some of the details in this description, we can nevertheless note that the general procedure has been as follows:

9.3 Noise in two-terminal systems

329

The current at the source is I and the current at the drain is
I. The currents at all other terminals are set to zero. We write down the linear equation (9.2.1) using these boundary conditions. We solve this equation for the nontrivial electrochemical potentials by using singular value decomposition. 5. With electrochemical potentials obtained as functions of the applied current, we calculate the resistance between voltage probes. 1. 2. 3. 4.

The main point here is that the final expression for the resistance will involve transmission probabilities from all terminals i; j; k; and l in a combination that depends on which probes are source and drain, and which are voltage probes. This has the implication that the resistance will now depend on how the measurement is conducted and not just on a material parameter (resistivity) and geometry. As a consequence of the phase coherence in the mesoscopic system, an electron carries with it phase information from its traversal of the system, and the probability that an electron will reach one terminal depends on where it was injected. The multi-terminal Landauer–Bu¨ttiker formula has become the standard approach for analyzing mesoscopic transport in areas ranging from quantum point contacts to the quantum Hall effect and spin-dependent tunneling transport. The basic physics underlying weak localization can also be understood from the point of view of the Landauer–Bu¨ttiker formalism, although in this case it does not easily lead to quantitative predictions. It is very intuitive, simple, and powerful. It also satisfies symmetries that lead to some specific predictions referred to as reciprocities, which have been verified experimentally. We will discuss some other consequences when we introduce a magnetic field in Chapter 10.

9.3 Noise in two-terminal systems Any signal we ever measure has to be detected against a background of noise. Usually in practical applications, such as telecommunications, noise is a nuisance and we try to suppress it as much as possible. If the signal-tonoise ratio is low – it does not matter how large the actual signal amplitude is – the signal may be drowned in noise. But noise also contains information about the physical processes occurring in a system. Different processes have different kinds of noise, and by carefully analyzing the noise we can gather useful information. Here we look at some of the noise sources in a mesoscopic system and their characteristics. For simplicity, we here consider only two-terminal systems.

330

Mesoscopic physics

Noise is most conveniently analyzed in terms of its spectral density Sð!Þ, which is the Fourier transform of the current–current correlation function, Sð!Þ ¼ 2

ð1
1

dt ei!t h
Iðt þ t0 ; TÞ
Iðt0 ; TÞi:

Here
Iðt; TÞ is the time-dependent fluctuation in the current for a given applied voltage V at a given temperature T. In a two-terminal electric system there are two common noise sources. The first one is the thermal noise, or Johnson noise, of a device of conductance G ¼ 1=R at temperature T. It is due to thermal fluctuations, and can be derived using the fluctuation-dissipation theorem. For low frequencies (low, that is, compared with any characteristic frequency of the system, and such that 0!  kTÞ, the Johnson noise has no frequency dependence, and is said to be white. The spectral density is given by S ¼ 4kTG: The other common noise source is shot noise, which occurs when the current is made up of individual particles. When the transits of the particles through the device are uncorrelated in time, these processes are described as Poisson processes, and their characteristic noise is known as Poisson noise. The Poisson noise is also white for low frequencies, with a spectral density that is proportional to the current: SPoisson ¼ 2eI: Shot noise is a large contributor to noise in transistors, but in mesoscopic systems correlations can suppress it quite dramatically, giving it a spectral density much below that of Poisson noise. In the Landauer–Bu¨ttiker formalism, the current is due to transmission of electrons occupying scattering states. The Pauli principle forbids multiple occupancy of these states, which in two-terminal systems necessarily correlates the arrival of electrons to the source from a single scattering state. Let us now look at this more quantitatively. At finite temperatures, the Landauer two-terminal formula is I¼

e h

ð1 0

dE½ fs ðEÞ
fd ðEÞ Tn ðEÞ;

9.3 Noise in two-terminal systems

331

where fs ðEÞ and fd ðEÞ are the Fermi distribution functions of states injected from the source and drain, respectively, and are given by fs ðEÞ ¼

1

1 þ eðE

eVÞ=kT 1 fd ðEÞ ¼ : ðE
Þ=kT 1þe It is not a difficult exercise to evaluate the spectral density by inserting a current operator and using the relation between incoming and outgoing currents given by the Landauer formalism. With the linear response assumption (so that the transmission probabilities are taken to be independent of energy and evaluated at the common chemical potential) the result is S¼2

e2 X ½2Tn2 kT þ Tn ð1
Tn ÞeV cothðeV=2kTÞ : h n

ð9:3:1Þ

This expression contains several interesting results. In the limit eV=kT ! 0 it reduces to the Johnson noise, and it is reassuring that we recover the central result of the fluctuation-dissipation theorem from the Landauer–Bu¨ttiker formalism. The second term is the shot noise. This one has some peculiar characteristics in a mesoscopic system. In the limit of zero temperature, the shot noise part of Eq. (9.3.1) becomes Sshot ðT ! 0Þ ¼ 2eV

e2 X Tn ð1
Tn Þ: h n

States for which Tn ¼ 1 or Tn ¼ 0 do not contribute to the shot noise. Shot noise represents fluctuations due to the uncorrelated arrivals of electrons. If Tn ¼ 1, that transmission channel is ‘‘wide open,’’ fully transmitting a steady stream of electrons without any fluctuations, which are suppressed by the Pauli Exclusion Principle. Similarly, if Tn ¼ 0 there is no shot noise simply because there are no electrons at all arriving in that channel. The maximum noise that a single channel can contribute apparently occurs for Tn ¼ 0:5, when the channel is half-way between closed and open, and there is maximum room for fluctuations. This characteristic of the noise can be verified experimentally. Consider a two-terminal quantum point contact and its conductance as a function of gate voltage. Suppose the initial gate voltage is such that the conductance is quantized. There is then an integer number of channels for which Tn ¼ 1

332

Mesoscopic physics

while for all others Tn ¼ 0, and so the shot noise is zero. As the gate voltage is changed, the conductance moves towards a transition region where the conductance changes value. This happens when a new channel is opened or the highest-lying channel (in energy) is being pinched off. As this happens, the corresponding transmission probability goes from zero to unity (or vice versa), and the shot noise increases and goes through a maximum. As the conductance levels off on a new plateau, the shot noise vanishes. The effect of small, nonzero temperatures is just to round off the shot noise curve. The shot noise in quantum point contacts has been measured, and the predictions described above have been verified, again demonstrating the simplicity and power of the Landauer–Bu¨ttiker formalism. 9.4 Weak localization In general, the conductance of a metallic system increases monotonically as the temperature is reduced, but there are cases in which the conductance exhibits a maximum and then decreases as the temperature is reduced further. One such example is the Kondo effect, which will be the subject of Chapter 11. This phenomenon is the consequence of interactions between a local spin and the spins of conduction electrons. Systems that exhibit the Kondo effect are invariant under time reversal, and the conductance maximum is caused by the onset of strong interactions between conduction electrons and the local spin. There are, however, other systems that exhibit a maximum in the conductance but for which, in contrast to Kondo systems, the conductance maximum is closely related to issues of time reversal symmetry. One such example occurs when the conduction electrons in manganese are elastically scattered by impurities. As the temperature is decreased below a few kelvin the conductance decreases. Furthermore, at temperatures well below this conductance maximum the system exhibits negative magnetoresistance, which is to say that if an external magnetic field is applied the conductance increases. This indicates that the cause of the conductance maximum somehow depends on time reversal symmetry, and is destroyed if that symmetry is broken. Further evidence of this is given by the fact that if some small amount of gold is added, the magnetoresistance is initially positive as the external field is applied. Gold is a heavy element and has strong spin–orbit scattering, which destroys time reversal invariance by a subtle effect called the Aharonov–Casher effect. This phenomenon of decreasing conductance, or increasing resistance, at low temperatures in the presence of time reversal symmetry is another manifestation of the long-range phase coherence of the electron wavefunctions. In

9.4 Weak localization

333

this case, the coherence leads to interference effects in which an electron interferes destructively with itself. In order for this to be possible at all, the phase breaking length must be long enough that the electrons diffuse through elastic scattering while maintaining their phase coherence for some reasonable distance. That is why the temperature has to be low in order for the effect, which is called weak localization, to be observable. In principle, all the physics of weak localization is contained within the Landauer–Bu¨ttiker formalism. In this case, the transmission probabilities Tn must show some strong behavior for certain channels for which the interference effects must somehow reduce Tn . Note that while the Landauer– Bu¨ttiker formalism assumes that different electrons have no phase relations and so do not interfere with each other, it certainly leaves open the possibility that each electron state can interfere with itself on its path from one terminal to another. However, in the case of weak localization the Landauer–Bu¨ttiker formalism does not easily lend itself to practical calculations. In fact, in order to deal correctly with the problem, one has to use rather sophisticated manybody perturbation techniques. Instead, we will here give some more intuitive arguments for what lies behind weak localization. We consider an electron as it traverses a mesoscopic system from source to drain. In this case, there is a rather high density of impurities, so the electron scatters frequently. As a consequence, the electron performs a random walk through the system. In many respects this is similar to the case for ‘‘normal’’ electron transport in which there is no phase coherence. The motion of a random walker can, at times long compared with a typical time between collisions, be described as a classical diffusion problem. According to the Einstein relation, the diffusion constant D0 is proportional to the mobility, and hence to the conductance. In three dimensions, the probability that a particle has moved a net distance r in a time t is given by P3 ðr; tÞ ¼

exp ð
r2 =4D0 tÞ : ð4D0 tÞ3=2

From this equation, we can find the probability amplitude that the particle returns to its original position. In general, there may be many different paths that take the electron back to the origin during some infinitesimal time interval dt at some time t. Let us for simplicity consider two such paths with probability amplitudes 1 ðr ¼ 0; tÞ and 2 ðr ¼ 0; tÞ. To find the probability we have to take the squared modulus of the sum of the probability amplitudes, j 1 ðr ¼ 0; tÞj2 þ j 2 ðr ¼ 0; tÞj2 þ *1 ðr ¼ 0; tÞ 2 ðr ¼ 0; tÞ þ 1 ðr ¼ 0; tÞ * 2 ðr ¼ 0; tÞ. In ‘‘normal’’ macroscopic systems, the electron

334

Mesoscopic physics

suffers inelastic collisions which randomize the phase along each path. Consequently, there is no phase relation between probability amplitudes 1 ðr ¼ 0; tÞ and 2 ðr ¼ 0; tÞ, and the interference terms vanish as we add up contributions from all possible paths. In mesoscopic systems, the phase is preserved for all paths shorter than ‘ , since then the electron returns to the origin within the phase breaking time  ¼ ‘ =vF . Most of those paths, however, also have random relative phases and the interference terms vanish. However, there is now one class of paths for which the interference terms do not vanish. These are paths that are related by time reversal. In the absence of a magnetic field such paths have probability amplitudes that are precisely complex conjugates of each other, 1 ðr ¼ 0; tÞ ¼ *2 ðr ¼ 0; tÞ, and these paths interfere constructively. This means that the particle has an enhanced probability of returning to the origin, compared with incoherent classical diffusion. As a consequence, the probability that the particle has moved some net distance in a time t is reduced. This reduces the diffusion constant, and, according to the Einstein relation, reduces the conductivity. We can make the argument more quantitative by considering an electron wavepacket at the Fermi surface. In order for the wavepacket to be able to interfere it must have a spatial extent
x of the order of its wavelength,
x  F . In a time t, the wavepacket thus sweeps out a volume   d
1 F vF t, where d is the spatial dimensionality of the system. This wavepacket can interfere with itself provided it returns to the origin at some time t. The probability for this to happen is Pðr ¼ 0; tÞ 

 ð4D0 tÞd=2

¼

d
1 F vF t ð4D0 tÞd=2

:

Each such event decreases the effective diffusion. We now need to sum over all such events. These can occur only at times less than the phase breaking time  , since for longer times the phases of the two time-reversed paths have been randomized and will no longer interfere. We must also insert some minimum time 0 below which there are on average no collisions, denying the electron any chance of returning. This lower limit is of the order of the elastic scattering time e ¼ ‘e =vF . In three dimensions we put d ¼ 3 to find ð  e

dtP3 ðr ¼ 0; tÞ 

22F vF ½ðe Þ
1=2
ð Þ
1=2 ð4D0 Þ3=2

:

ð9:4:1Þ

This probability that an electron can return to the origin with some memory of its original phase will be of roughly the same magnitude as the fractional

9.4 Weak localization

335

reduction in conductance
= caused by the interference of the timereversed paths. If we substitute the Drude formula D0 ¼ vF ‘e =d we find the fractional increase in the resistivity to be
=  ½1
ðe = Þ1=2 =ðkF ‘e Þ2 :

ð9:4:2Þ

By including the temperature dependence of the elastic relaxation time (which yields the temperature dependence of the elastic mean free path) and the phase breaking time we also get an estimate of the overall temperature dependence of the increase in resistivity. In two dimensions, the result is more striking, since the denominator in the expression for P2 ðr ¼ 0; tÞ decays only as t
1 rather than as t
3=2 . An integration analogous to that in Eq. (9.4.1) gives the fractional increase in resistivity to be    1 ln ;
=  kF ‘e e

ð9:4:3Þ

which can be quite significant if the ratio of phase breaking time to elastic relaxation time is large. In two dimensions, the probability of a random walker returning to the origin is much larger than in three dimensions, which leads to a dramatic enhancement in the resistivity. Note that weak localization depends sensitively on the phase relation between time-reversed paths. If this relation is altered, the weak localization is in general suppressed. One way to achieve this is to apply an external magnetic field. This adds a so-called Aharonov–Bohm phase to the path of an electron. For closed paths, this phase is equal to the 2 times the number of flux quanta enclosed by the path, and the sign is given by the sense of circulation of the path. If the Aharonov–Bohm phase added to one path is
, then the time reversed path gets an added phase

, and the interference term between these two paths now has an overall phase factor. Since different pairs of time-reversed paths will have different, and, on average random, phase factors, the net effect of the magnetic field is to wipe out rapidly the weak localization as the contributions to the increase in resistance from different pairs of paths are added together. Hence, the resistance of a system in the weak localization regime is observed to decrease (‘‘negative magnetoresistance’’) as an external magnetic field is applied. There are also other phenomena associated with phase coherence. One such is the existence of the so-called universal conductance fluctuations. If the conductance of a mesoscopic system is measured as a function of some

336

Mesoscopic physics

external control parameter, for example a magnetic field or impurity configuration, there are seen to be fluctuations in the conductance. The specific fluctuations are sample-dependent and reversible as the external control parameter is swept up and down, but the magnitude is universal and is of the order of the conductance quantum e2 =h. The root cause of the fluctuations is interference between different paths between two points in the sample. As the control parameter is varied, the precise interference patterns change but do not disappear, in contrast to weak localization. The universal conductance fluctuations are, however, suppressed in magnitude by processes that destroy time-reversal invariance. In fact, one can use universal conductance fluctuations to detect the motion of single impurities in a sample, as this will lead to observable changes in the conductance fluctuation pattern. 9.5 Coulomb blockade We close this chapter by briefly discussing a phenomenon known as Coulomb blockade. Although it does not per se depend on wavefunction coherence, it is intimately related to small (nano-scale) devices, and so one can make the case that it is a mesoscopic effect. It is a quantum phenomenon in that, while it does not depend directly on 0, it does rely for its existence on the quantized nature of electric charge. It reflects the fact that the capacitance of mesoscale devices can be so small that the addition of a single electron may cause an appreciable rise in voltage. We consider a small metallic dot, like a tiny pancake, connected to two leads. We here explicitly take the connections to the leads to be weak. This means that there are energy barriers that separate the leads from the dot, and through which the electrons have to tunnel in order to get on and off the dot. This allows us, to a reasonable approximation, to consider the electron states on the dots as separate from the electron states in the leads. As a consequence, it is permissible to ask how many electrons are on the dot at any given time. If the leads had been strongly coupled to the dot, then electron eigenstates could simultaneously live both on the dot and in the leads, and we would not have the restriction that only an integer number of electrons could reside on the dot. Also, the resistances at the junctions with the dot have to be large enough that essentially only one electron at a time can tunnel on or off. The condition for this is that the junction resistances be large compared with the resistance quantum RQ ¼ h=e2 . The tunneling rates are then low enough that only one electron at a time tunnels. Note also that it is important that we consider the dot to be metallic, so that there is a fairly large number of electrons on the dot, and the available states form a continuum. Technically,

9.5 Coulomb blockade

337

we can then consider the operator for the number of electrons to be a classical variable, just as we did in the liquid-helium problem when we replaced the y number operator a 0 a0 for the condensate with the simple number N0 . Experimentally, the dots can also be made out of semiconductors, in which case one may have a very small number of electrons – of the order of ten or so – on the dots. In that case, the discrete spectrum of eigenstates on the dots has to be considered more carefully, and there may be interesting and complicated correlation effects between the electrons. We now imagine that we connect the leads to some source of potential difference V, and we monitor the current that flows from one lead, through the dot, and into the other lead. What we find is that for most values of V the current is totally negligible, while for some discrete set of voltages the conductance through the dot is rather high, resulting in a conductance vs. bias voltage curve that looks rather like a series of evenly spaced delta-functions. It turns out that it is rather easy to come up with a qualitative picture that is even quantitatively rather accurate. We model the dot and the junctions according to Fig. 9.5.1, in which C1 and C2 , and V1 and V2 are the capacitances and voltages across each junction, respectively. The total voltage applied by the voltage supply is V ¼ V1 þ V2 , and the charge on each junction is Q1 ¼ n1 e ¼ C1 V1 and Q2 ¼ n2 e ¼ C2 V2 , with n1 and n2 the number of electrons that have tunneled onto the island through junction 1, and the number of electrons that have tunneled off the island through junction 2, respectively. Because the tunneling rates across each junction may differ, Q1 and Q2 are not necessarily equal. The difference is the net charge Q on the island, Q ¼ Q2
Q1 ¼
ne;

Figure 9.5.1. Equivalent electrostatic circuit of an island connected to a voltage source through two tunneling junctions.

338

Mesoscopic physics

with n ¼ n1
n2 an integer. The island itself has a capacitance Ctot ¼ C1 þ C2 , obtained by grounding the external voltage sources and connecting a probe voltage source directly to the island. The electrostatic energy of the system (junctions, island, and voltage source) consists of electrostatic energy E s stored in the junctions, minus the work W done by the voltage source in moving charges across the junction. As an electron tunnels off the island through junction 2, there is a change in voltage across junction 1. Charge then flows to junction 1 from the voltage source, and the voltage source does work. Similarly, if an electron tunnels onto the island through junction 1, the voltage across junction 2 changes and charge flows from junction 2 to the voltage source. Coulomb blockade occurs if there is some minimum voltage V that has to be supplied in order to have an electron tunnel onto or off the island. If V is less than this threshold, no current can flow through the island. In order to look at this quantitatively, we first note that we can write V1 ¼

C1 V1 þ C2 ðV
V2 Þ C2 V þ ne ¼ Ctot Ctot

ð9:5:1Þ

V2 ¼

C2 V2 þ C1 ðV
V1 Þ C1 V
ne ¼ : Ctot Ctot

ð9:5:2Þ

These two equations give us the voltage across one junction as an electron tunnels through the other junction. The electrostatic energy stored in the junctions is Es ¼

C1 V12 þ C2 V22 C1 C2 ðV1 þ V2 Þ2 þ ðC1 V1
C2 V2 Þ2 C1 C2 V 2 þ Q2 ¼ : ¼ 2 2Ctot 2Ctot

If an electron of charge
e tunnels out of junction 2, then the charge Q on the island increases by þe. According to Eq. (9.5.1), the voltage V1 then changes by
e=Ctot . To compensate, a charge
eC1 =Ctot flows from the voltage source. If we now consider n2 electrons tunneling off the island through junction 2, the work done by the voltage source is then
n2 eVC1 =Ctot . Next, we apply the same reasoning to electrons tunneling onto the island through junction 1. The result is that for n1 electrons tunneling onto the island, the voltage source does an amount of work equal to
n1 eVC2 =Ctot . For a system with a charge Q ¼
ne ¼
n2 e þ n1 e on the island, the total energy is then Eðn1 ; n2 Þ ¼ E s
Ws ¼

1 eV ½C1 C2 V 2 þ Q2 þ ½C n þ C2 n1 : 2Ctot Ctot 1 2

Problems

339

We can now look at the cost in energy for having an electron tunnel onto or off an initially neutral island (Q ¼ 0). If we change n2 by þ1 or
1, the energy changes by E 2

  e e VC1 : ¼ Ctot 2

Similarly, if we change n1 by þ1 or
1, the change in energy is E 1

  e e  VC2 : ¼ Ctot 2

Because the first term in each of these expressions is inherently positive, the energy change is also positive when V is small, and the process of electron transfer will not occur. It will not be until we reach a threshold voltage of V ¼ e2 =2C1 and V ¼ e2 =2C2 , respectively, that a reduction in energy will accompany the transfer. In other words, until the threshold voltage has been reached, the charge on the island cannot change, which means that no current flows through the system. This prevention of conduction by the requirement that the charging energy be negative is called Coulomb blockade. We note that for symmetric barriers, for which C1 ¼ C2 , the threshold voltage for an initially neutral island is V ¼ e=Ctot . Quantum dots can in principle be made into single-electron transistors, and logical circuits can be constructed with single-electron transistors as building blocks. However, for this to be practically useful, one has to ensure that the charging energy e2 =2C  kT, where T is the temperature. For a dot of size 20  20 nm2 , which can be fabricated by electron beam lithography, the capacitance is of the order of 10
17 F, and then the phenomenon will be observable only at temperatures less than about 10 K. However, dots or atomic clusters of size 1 nm or less would have capacitances of the order of or less than 10
19 F, in which case the charging energy is of the order of electron volts. This opens up the possibility of very compact integrated circuits and computers.

Problems 9.1 It was stated at the end of the paragraph following Eq. (9.1.1) that ‘‘in the absence of an external magnetic field there must exist an outgoing state in the same terminal with the same energy but opposite wavenumber.’’ Why is this?

340

Mesoscopic physics

Figure P9.1. Schematic of the ballistic quantum point contact for Problem 9.2.

9.2 Calculate the conductance of a ballistic quantum point contact in a semiclassical two-dimensional electron gas. Assume that a barrier partitions the electron gas with Fermi energies s and d on each side of the barrier, respectively, with a corresponding difference n in densities, as in Fig. P9.1. A constriction of width w lets electrons cross from one side to the other. First calculate the net flux through the constriction. This is due to the excess density n at the source incident with speed vF on the constriction, and averaged over angle  of incidence. This will give you the current I through the constriction as a function of n. The chemical potential difference is  ¼ eV, with V the source-to-drain voltage. In the expression for the conductance, n=  can be taken to be the density of states of the two-dimensional electron gas. 9.3 A model of a smooth quantum point contact is the saddle-point potential, Vðx; yÞ ¼ V0
12 m!2x x2 þ 12 m!2y y2 ; where the curvature of the potential is expressed in terms of the frequencies !x and !y . This potential is separable, and one can solve for the transmission probabilities. With the reduced variable   E
ðn þ 12Þ0!y
V0 n ¼ 2 ; 0!x where n denotes the transverse channels, the transmission probabilities are Tnm ¼ nm

1 : 1 þ e
n

Plot Tnn as a function of ðE
V0 Þ=ð0!x Þ for different values of !y =!x ranging from 1 for the three lowest channels n ¼ 0; 1; 2. Set up the expression for the total conductance, given these transmission probabilities. Under what conditions (at zero temperature) would you say

Problems

341

that the conductance is quantized? [Hint: Calculate the maximum and minimum slope of the conductance vs. Fermi energy. How wide and flat are the plateau regions of the conductance? What would you require of !x and !y in order to say that the conductance is well quantized?] (This problem was posed by M. Bu¨ttiker.) 9.4 Derive the set of equations for a four-terminal system that correspond to those given for a three-terminal system in Eqs. (9.2.4). 9.5 A tunneling device with transmission probabilities Tn  1 of resistance 100  is to be connected in series with a 25  resistor. The system, consisting of tunneling device and resistor, will operate at room temperature. Assume that the noise spectrum is white for any bandwidth under consideration. Under what conditions will the noise power of the system be dominated by Johnson and shot noise, respectively? [Hint: start with Eq. (9.3.1) and obtain an expression for the noise in the limit of Tn  1 for the tunneling device. You must also add the Johnson noise from the resistor.] 9.6 Fill in the missing steps that lead from Eq. (9.4.1) to Eq. (9.4.2).

Chapter 10 The quantum Hall effect

10.1 Quantized resistance and dissipationless transport The Hall effect has long been a standard tool used to characterize conductors and semiconductors. When a current is flowing in a system along one direction, which we here take to be the y-axis, and a magnetic field H is applied in a direction perpendicular to the current, e.g., along the z-axis, there will be an induced electrostatic field along the x-axis. The magnitude of the field E is such that it precisely cancels the Lorentz force on the charges that make up the current. For free electrons, an elementary calculation of the type indicated in Section 1.8 yields the Hall resistivity
H ¼ H=
0 ec, and apparently provides a measure of the charge density of the electrons. For Bloch electrons, as we saw in Section 8.3, the picture is more complicated, but
H is still predicted to be a smoothly varying function of H and of the carrier density. In some circumstances, however, the semiclassical treatment of transport turns out to be inadequate, as some remarkable new effects appear. In a two-dimensional system subjected to strong magnetic fields at low temperatures, the response is dramatically different in two respects. First, the Hall resistivity stops varying continuously, and becomes intermittently stuck at quantized values
H ¼ h=je2 for a finite range of control parameter, e.g., external magnetic field or electron density. In the integer quantum Hall effect, j is an integer, j ¼ 1; 2; . . . ; and in the fractional quantum Hall effect, j is a rational number j ¼ q=p, with p and q relative primes and p odd. (In addition, there exists a fractional quantum Hall state at  ¼ 5=2 and possibly other related states. The physics of these is, however, very different from that of the ‘‘standard’’ odd-denominator fractional quantum Hall states and will not be discussed here.) Second, at the plateaus in
H at which it attains these quantized values, the current flows without dissipation. In other words, the longitudinal part of the resistivity tensor is zero. The resistivity 342

10.1 Quantized resistance and dissipationless transport

343

and conductivity are both tensor quantities, and it happens that the longitudinal conductivity also vanishes at these plateaus. This may sound a little strange, but is a simple consequence of the dissipationless transport in two dimensions in crossed electric and magnetic fields. As we shall see, these two observations, a quantized Hall resistance and dissipationless transport, can be understood if the system is incompressible (that is, it has an energy gap separating the ground state from the lowest excited state) and if there is disorder, which produces a range of localized states. Our first task will be to ask what causes the incompressibility and energy gap. In the integer quantum Hall effect, the energy gap (which is responsible for the incompressibility) is a single-particle kinetic energy gap due to the motion of single particles in an external field. It is not necessary to introduce electron–electron interactions in order to explain the integer quantum Hall effect. In the fractional quantum Hall effect, on the other hand, the energy gap and the ensuing incompressibility are entirely due to electron– electron interactions. This, and the absence of any small parameter in the problem that would permit a perturbation expansion, makes it a very difficult system to study theoretically. The presence of disorder is necessary in order to explain the plateaus in the quantized Hall resistivity. Disorder gives us a range of energies within which states are localized, and as the Fermi energy sweeps through these states the Hall resistivity exhibits a plateau. In the integer quantum Hall effect, the disorder dominates over the electron–electron interactions. In the fractional effect the strengths are reversed. The fractional effect occurs only in samples that are very clean, and which consequently have a very high electron mobility. There is, of course, no sharp division between the integer and the fractional quantum Hall effect, and there is no magical amount of disorder at which the fractional quantum Hall effect is destroyed. Which plateaus, and thus which fractional or integer quantum Hall states, will be observed depends on how much disorder there is in the system and what the temperature is. If we start by imagining a very clean system in the limit of zero temperature, the Hall resistivity vs. control parameter will exhibit a series of plateaus corresponding to all fractional and integer Hall states, but the extent of each plateau becomes very small. As we start to add impurities to the system, the fractional quantum Hall states with the smallest energy gaps are destroyed, since the perturbations introduced by the disorder become larger than the smallest energy gaps. The corresponding plateaus disappear and neighboring plateaus grow in size. At sufficient disorder, all fractional quantum Hall plateaus have vanished and we are left with only the plateaus of the integer quantum Hall states. Similarly, increasing the

344

The quantum Hall effect

temperature will destroy the quantum Hall effect, as it is, strictly speaking, a zero-temperature phenomenon. By this we mean that the quantization of the Hall conductance and vanishing of the longitudinal resistance are exact only in the limit of low temperatures. As the temperature is raised, the weakest fractional quantum Hall states will start to disappear. As the temperature is increased further, the integer quantum Hall states will eventually suffer the same fate.

10.2 Two-dimensional electron gas and the integer quantum Hall effect We start by considering a two-dimensional gas of N noninteracting electrons in an external magnetic field and with no disorder. Let the area in the xyplane be A and the magnetic field be B ¼ B z^ . The Hamiltonian of this system is simply 2 N  1 X e H0 ¼ pj þ Aðrj Þ ; 2m* j¼1 c where Aðrj Þ is the vector potential at the position rj of electron j, the charge on the electron is now taken to be e, and m* is the band mass of the electron, e.g., m*  0:07me in GaAs. The first thing we have to do is to fix a gauge for the vector potential, and there are two common choices for this depending on which symmetry we want to emphasize. The first choice is the so-called Landau gauge, A ¼ Bx^y. This gauge is translationally invariant along the y-axis and so the single-particle eigenstates can be taken to be eigenstates of py . This choice of gauge is convenient for rectangular geometries with the current flowing along the y-axis. The other choice is the symmetric gauge A ¼ 12 Bðx^y  yx^ Þ ¼ 12 Br/^ . As the last equality shows, this gauge is rotationally invariant about the z-axis, and the single-particle eigenstates can be taken to be eigenstates of the z-component of angular momentum. This choice of gauge is convenient for circular geometries (quantum dots) and is the gauge in which the Laughlin wavefunction for fractional quantum Hall states is most easily represented. For now, we use only the Landau gauge, and with this choice the Hamiltonian H0 becomes   2 2 1 X 0e @ e2 2 2 2 @ 2 @ Bxj 0 þ2 þ B xj : 0 H0 ¼ 2m* j i c @yj c2 @x2j @y2j

ð10:2:1Þ

10.2 Two-dimensional electron gas and the integer quantum Hall effect

345

In the absence of potentials that break the translational invariance along the y-axis, we can write the single-particle states as kn ðx; yÞ

¼ kn ðxÞeiky :

ð10:2:2Þ

We apply periodic boundary conditions along a length Ly on the y-axis. The admissible values of k are then given by k ¼ 2 ik =Ly , with ik ¼ 0; 1; 2; . . . By applying the Hamiltonian (10.2.1) to the wavefunction (10.2.2) we obtain the single-particle Schro¨dinger equation 

 02 d 2 1 2 2 þ m*!c ðx  xk Þ kn ðxÞ ¼ E kn kn ðxÞ;  2m* dx2 2

ð10:2:3Þ

where !c ¼ eB=ðm*cÞ is the cyclotron frequency, pffiffiand ffiffiffiffiffiffiffiffiffixffi k ¼ ð0c=eBÞk, which 2 we write as ‘B k, with ‘B the magnetic length, 0c=eB. This is the characteristic length scale for the problem, and is about 10 nm for magnetic fields of 5 to 10 T. Equation (10.2.3) is, for each allowed value of k, the equation for a harmonic oscillator centered at the position x ¼ xk , and so the energy eigenvalues are E nk ¼ ðn þ 12Þ0!c

n ¼ 0; 1; 2; . . .

ð10:2:4Þ

Surprisingly, the energy eigenvalues do not depend on the momentum 0k along the y-axis, but only on the index n, the so-called Landau level index, and all states with the same quantum number n form a Landau level. This means that there is a huge degeneracy in energy. The center points of the states are xki ¼ ‘2B ki , and the centers of two neighboring states along the xaxis are separated by a distance x ¼ 2 ‘2B =Ly . If the system has a width Lx we can fit Lx =x states in one Landau level across this width. Each Landau level thus contains Lx =x ¼ Lx Ly =ð2 ‘2B Þ states, which is the degeneracy of each Landau level. Another way to think of this is that each state occupies an area 2 ‘2B , and the degeneracy is just the total area A ¼ Lx Ly divided by the area per state. The degeneracy, or the area per state in units of 2 ‘2B , leads us to define a very useful quantity, the filling factor , which is a conveniently scaled measure of the density of the system. The filling factor is defined as  ¼ 2 ‘2B
, with
now the number of electrons per unit area. Thus, when  ¼ 1, all the states in the lowest Landau level n ¼ 0 that lie within the area A are filled. Another way to look at the filling factor, which is especially useful when we deal with the fractional quantum Hall effect, is that it is a measure of the

346

The quantum Hall effect

number of electrons per flux quantum. For this system the flux quantum is 0 ¼ hc=e. It is double the flux quantum 0 ¼ hc=2e introduced in Section 7.9 because we are now dealing with single electrons rather than electron pairs. The total flux piercing the system is  ¼ BA ¼ 0 BAe=ðhcÞ ¼ 0 A=ð2 ‘2B Þ, so the number of flux quanta N0 is A=ð2 ‘2B Þ. Thus the number of electrons per flux quantum is
A=N0 ¼ 2 ‘2B
¼ . With the single-particle energy spectrum given by Eq. (10.2.4), the density of states for the system of noninteracting particles consists of a series of -functions of weight A=ð2 ‘2B Þ at the energies ðn þ 12Þ0!c , as depicted in Fig. 10.2.1. If we plot the ground state energy E 0 ðÞ of the N independent electrons as a function of filling factor  we obtain a piecewise linear plot with slope ðn þ 12Þ0!c and with discontinuities of magnitude 0!c in the slope at integer filling factors, as shown in Fig. 10.2.2. As we add more electrons to a system, we occupy states in the lowest Landau level n 0 that still has vacant states available. These states are all degenerate and each extra electron adds

Figure 10.2.1. The density of states of a noninteracting two-dimensional electron gas in a magnetic field.

Figure 10.2.2. Ground-state energy E vs. filling factor  for a noninteracting twodimensional electron gas in a magnetic field. As the nth Landau level is being filled, the energy increases by ðn þ 12Þ0!c per particle. When the nth Landau level is precisely filled, adding a new electron will require ðn þ 32Þ0!c , causing the slope of the curve to change discontinuously.

10.2 Two-dimensional electron gas and the integer quantum Hall effect

347

an energy ðn 0 þ 12Þ0!c . When the last available state in this Landau level has been filled, the next electron will need an energy ðn 0 þ 1 þ 12Þ0!c , and so the slope increases discontinuously by 0!c . Since the ground-state energy has angles at integral , this implies that the zero-temperature chemical potential,

¼



@E 0 @N



;

B

has discontinuities at integer filling factors, as shown in Fig. 10.2.3. Finally, we use the fact that the isothermal compressibility  is related to the chemical potential through 1 ¼
2

d ; d


with the derivative taken at constant (here T ¼ 0) temperature. At the integer filling factors, the slope of vs.  approaches infinity, and so the compressibility vanishes there. The compressibility measures the energy cost of ‘‘squeezing’’ the system infinitesimally. The compression is created by exciting particles from just below the Fermi energy to just above the Fermi energy in order to make a long-wavelength density perturbation. For a compressible system, this costs only an infinitesimal energy. However, when the system is said to be incompressible, compressing the system infinitesimally requires a finite energy. This is what happens at integer filling factors: one set of Landau levels is completely filled, and particles can only be excited by crossing the energy gap 0!c to the next Landau level. Let us now turn to the response of the system to a transverse electric field. In the absence of any external potential (including disorder), we can easily calculate the current carried by each single-particle state. The operator that

Figure 10.2.3. The chemical potential for the two-dimensional electron gas in a magnetic field has discontinuous jumps whenever a Landau level has been filled.

348

The quantum Hall effect

describes the current is   e e pþ A J¼ m* c for an electron of charge e. This operator can be thought of as being proportional to a derivative of the Hamiltonian with respect to the vector potential. This is a very useful observation, and we turn it into a formal device by introducing a fictitious vector potential a ¼ ðq0 =Ly Þ^y ¼ ½qhc=ðeLy Þ ^y. Here q is a dimensionless parameter, 0 is the flux quantum hc=e, and we have applied this fictitious vector potential along the y-axis in order to relate it most easily to Jy . We note that r  a ¼ 0, so a does not correspond to any physical magnetic field through the system. However, if we imagine making the system a loop in the yz-plane by tying together the ends along the y-direction, qhc=e could be due to a real magnetic field piercing the center of the loop with q flux quanta. With this extra vector potential, the Hamiltonian is 2  1 e e 0 HðqÞ ¼ y^ : pþ Aq 2m* c c Ly Here we have explicitly indicated the parametric dependence on q. The current operator can then be written   eLy @HðqÞ e e qh Jy ðr; qÞ ¼  y^  y^ ¼ pþ A : h m* c Ly @q

ð10:2:5Þ

We now make an interesting observation. According to Eq. (10.2.5) we can evaluate the current in any state by forming the expectation value of the derivative of the Hamiltonian with respect to a fictitious vector potential in that state. If a state carries any current, this derivative must obviously be nonzero, and the eigenvalue spectrum must also depend on this fictitious vector potential. But this added vector potential is ‘‘pure gauge,’’ which is to say that it does not correspond to any physical magnetic field and can be completely removed by a gauge transformation. Therefore, it should have no effect whatsoever on the spectrum of the system. The solution to this paradox lies in the fact that the vector potential a adds a phase to the electronÐ wavefunction. This is the so-called Aharonov–Bohm phase AB ¼ e=0c a  dr. In the present case we integrate along the y-direction and obtain AB ¼ 2 q. The phase of a single-particle electron wavefunction thus advances by 2 q as

10.2 Two-dimensional electron gas and the integer quantum Hall effect

349

it travels around the circumference Ly in the y-direction. This is precisely what happens if there is a flux  ¼ q0 piercing the center of the ring. In addition to this Aharonov–Bohm phase, the phase of the wavefunction also advances by kLy , where k is the wavenumber along the y-direction. If q is an integer, q ¼ 0; 1; 2; . . . ; nothing new is added and the standard wavenumbers ki ¼ 2 i=Ly with i ¼ 0; 1; 2; . . . satisfy the condition that the wavefunctions be single-valued. But if q is not an integer, the phase added to the wavefunction due to a as we go around the ring is not an integer times 2 . The wavenumbers ki would then make the wavefunction multiple-valued. In order to avoid this, we have to adjust the wavenumbers so that ki Ly carries an extra phase that precisely cancels the phase due to the vector potential a, and the allowed wavenumbers are now ki ¼ 2 ði  qÞ=Ly . In other words, the presence of the vector potential a changes the boundary conditions, unless a corresponds to an integer number of flux quanta piercing the system. Note that this effect hinges on the phase coherence of the wavefunction extending around the ring. If the localization length is much smaller than the circumference, the wavefunction will not run the risk of being multiple-valued. For example, the wavefunction can be localized at some position y0 and decay exponentially with a decay length ‘  Ly away from y ¼ y0 . The same wavefunction is then single-valued as we go around the ring no matter what q is (except for some exponentially small corrections that we can ignore). The spectrum of HðqÞ then has no dependence on q and the wavefunctions cannot carry any current, which must obviously be the situation if the wavefunctions are localized. This is the case for disordered insulators. We now apply this kind of argument specifically to a two-dimensional electron gas on a ‘‘ribbon’’ of width Lx along the x-axis and having a circumference Ly along the y-axis. We apply a field E ¼ Ex x^ across the width of the ribbon and then calculate the Hall resistivity of the system. We use our trick from the previous paragraph of adding a fraction q of a flux quantum piercing the system to calculate the current density. The single-particle Schro¨dinger equation in the Landau gauge and in the absence of disorder is then HðqÞ

 ðx; yÞ

¼



 

 2 1 e q0 ^ pþ B x y þ eEx x 2m* c BLy

¼ E

 ðx; yÞ;

 ðx; yÞ

ð10:2:6Þ

where  represents an enumeration of the eigenstates. It shows what happens as we slowly add a fraction q of a flux quantum through the system – the

350

The quantum Hall effect

electrons ‘‘march’’ to the right, moving their center points from xki ¼ ki ‘2B ¼ ð2 i=Ly Þ‘2B to xki þ q0 =BLy . As we complete the addition of one unit of flux quantum through the system, the set of center points becomes mapped back onto itself. If there were no electric field present, the single-particle eigenstates for different values of q would all be equivalent, there would be no dependence of the spectrum of H on q, and thus no current. But the presence of the electric field changes this. There will now be a dependence of the spectrum of eigenvalues on q. We make this explicit by inserting singleparticle states kn;q ðxÞeiky into Eq. (10.2.6) and completing the squares: HðqÞkn;q ðxÞe

iky



  2 1 2 1 q0 vd 2 p þ m*!c x þ xk  ¼ þ 2m* x 2 BLy !c

1 Ex q0 2  m*vd  0kvd þ e kn;q ðxÞeiky ; 2 B Ly

where vd is the classical drift velocity vd ¼ cE=B. The electric field introduces a dependence of the single-particle energies on wavenumber k, and hence on the center point xk . This means that as we now add a fraction q of a flux quantum, the energy of the system changes. By virtue of the relation between single-particle energies and currents, the states carry currents in the presence of the electric field. Since the total energy of the system changes as we insert some flux, this apparently means that we must do work on the system in order to insert flux. Clearly, the work that we do in this process must be related to how the electron single-particle states march to the right and increase their energies. Imagine that we slowly insert precisely one flux quantum into the system. The single-particle states and their energies are all the same before and after inserting the flux quantum. But in the process, all occupied states moved one step over to the right, so that at the end of the process, we have transferred precisely one electron per occupied Landau level across the width Lx of the system. The cost in energy of this process is clearly E ¼ neV ¼ neEx Lx , where n is the number of occupied Landau levels. We can work this out in more detail. Let the resistivity tensor of the system be q. If there is no dissipation, then the diagonal components of the resistivity tensor must vanish, and only the off-diagonal components are nonzero. Now we consider the electric field in the y-direction rather than the x-direction, and use Faraday’s law to write 1 d 1 ¼ c dt c

ð

dS 

dB ¼ dt

ð

d<  Ey ¼ C

ð C

d‘
yx jx ;

10.2 Two-dimensional electron gas and the integer quantum Hall effect

351

where C is a contour enclosing the flux quantum and jx is the current density, equal to Jx =Ly , in the x-direction. If we now integrate this equation from t ¼ 1 to t ¼ 1, we can relate the change in flux  to a transfer of charge along the x-axis: ð ð ð 1  ¼
yx d‘ dt jx ¼
yx dt Jx : ð10:2:7Þ c C Ð Now choose  ¼ 0 . Then the net charge transferred ( dt Jx ) is ne, where n is the number of occupied Landau levels. Thus 1  ¼ 
yx ne; c 0 so, using 0 ¼ hc=e, we obtain
yx ¼ 

h : ne2

ð10:2:8Þ

While we have indeed derived a quantized Hall resistance for an ideal ribbon-like system using a rather sophisticated gauge-invariance argument, we could for the simple system above have taken a much simpler approach. We could have calculated the current carried by each single-particle state, summed up the result to get the total current, calculated the energy difference between the left-most and right-most occupied states, and we would have arrived at the same result. So why did we go through all this effort to calculate something we could have derived using very elementary techniques? The reason is that real systems are not ideal, but are composed of interacting electrons in the presence of disorder. The simple methods cannot be used in those cases. The gauge-invariance argument, on the other hand, is very powerful, and is independent of the details of the system. It allows us to turn now to a ‘‘real’’ system with disorder. First, we summarize the main ingredients of the gauge-invariance argument that we use in this case: (a) only states that are extended through the system respond to the flux inserted; (b) there is a mobility gap, i.e., there is a finite energy gap separating the bands of current-carrying states from each other, so that the system remains dissipationless and the diagonal part of the resistivity tensor vanishes; and (c) if we add precisely one flux quantum, the eigenstates of the system before and after the flux quantum is inserted are equivalent. Therefore, if there is a change in energy as we slowly add one flux quantum, this change must be due to a different occupation of single-particle states within the same Landau level. It cannot be due to exciting electrons to higher Landau levels, since such processes must overcome the cyclotron

352

The quantum Hall effect

energy and cannot occur adiabatically. It must be due to transferring n electrons from one side of the system to the other. The remaining issues are how to relate n to the number of filled Landau levels, and the origin of the mobility gap. For the ideal noninteracting system in the absence of an external electric field, the density of states consists of a series of delta-functions at the energies E ¼ ðn þ 12Þ0!c , each of which has a weight A=ð2 ‘2B Þ. As we add electrons to the system, the chemical potential will always be at one of these energies, except when an integer number of Landau levels are completely filled. Hence, there are almost always extended states just above and below the Fermi energy, without any energy gap separating them. As we add impurities to the system, extended states will start to mix due to scattering off the impurities. This both introduces dissipation (due to a finite probability of an incident electron being back-scattered) and also broadens each Landau level into a band. We will here assume that the bandwidth is smaller than the cyclotron energy so that each broadened Landau level is separated from the neighboring ones (see Fig. 10.2.4). It is generally then assumed that at the center of each broadened Landau level, there remains a small number of extended states that can carry current, while the states on each side of the center of the Landau level are localized. This is a crucial assumption. According to the localization theory of noninteracting particles, all electrons in two dimensions in the presence of any disorder should be localized, which seems contrary to the assumption we just made. What makes the difference is the presence of the magnetic field. There is strong theoretical and experimental evidence that the localization length of the localized states diverges as the center of the Landau level is approached. In a more pragmatic vein, we can also argue that it is an experimental fact that these systems do carry current, and so there must be some extended states present.

Figure 10.2.4. In the presence of disorder, the density of states shows that the Landau levels have broadened into bands. The shaded areas represent localized states that carry no current.

10.3 Edge states

353

As most of the states in the original Landau levels become localized and shifted in energy away from the center of the Landau level, this gives us the mobility gap that we need – an energy range through which we can sweep the Fermi energy while an energy gap separates the occupied extended states from the unoccupied ones. While the Fermi energy lies in a band of localized states, the transport is dissipationless, since dissipation is due to scattering between current-carrying occupied and unoccupied states at the Fermi energy. Here, all occupied current-carrying states are well below the Fermi energy and cannot scatter to unoccupied states without a finite increase in energy. Next, let us for simplicity assume that all localized states are in a region Lx =2 þ x < x < Lx =2  x and that the extended states occupy the regions jxj > Lx =2  x. As we now adiabatically insert a flux quantum through the system, the extended states in both regions march one step to the right. But that means that we must have effectively transferred one electron for each Landau level with its extended states below the Fermi energy across the region of localized states and across the width of the system – since all states in the localized region are initially occupied, there is no empty state to move into from the extended-state region at Lx =2 < x < Lx =2 þ x unless the net effect is to transfer one electron across the band of localized states for each such Landau level. Therefore, for this example, the integer n in the gauge argument above is equal to the number of filled Landau levels even in the presence of (moderate) disorder. We should, however, point out that while this argument can still be strengthened a little bit, there is no general proof that n must be equal to the number of filled Landau levels, or, for that matter, nonzero. For example, in a strip of finite width, all the energy levels are discrete, and it is therefore impossible to move a charge adiabatically across the system without adding any energy during this process. Only in the limit of very wide strips do the energy levels form a continuum and make it possible to move charges adiabatically. Another approach to quantization will be presented in the next section, in which the current response to changes in the chemical potential is studied using the Landauer–Bu¨ttiker formalism. That approach has the advantage of being closer to real experiments in which the current response is measured in systems that are real, disordered, and of finite size. 10.3 Edge states In the previous section, we implicitly attached a special significance to the edges in the physics of the quantized Hall conductance. For the ideal system

354

The quantum Hall effect

with an electric field, we transferred one electron per Landau level from current-carrying edge states on one side of the system to current-carrying edge states on the other side. Furthermore, while there is an excitation gap in the bulk of the system, the edge states provided gapless excitations. It turns out that because of the strong magnetic field, there will always be gapless excitations of current-carrying states flowing along the perimeter of the system. In this section, we examine these edge states more closely. We will find that there is a very natural interpretation of the quantized Hall resistance using these edge states in a Landauer–Bu¨ttiker formalism. We start by first giving a simple argument, due to Allan MacDonald, which demonstrates that in a bounded system, there must always be gapless excitations at the boundaries of the system. Consider a finite system with a density
* at which the bulk is incompressible with a filling factor *. The chemical potential then lies in the bulk excitation gap, i.e., we have to pay the price of the energy gap in order to add particles to the bulk of the system. We now imagine that we increase the chemical potential by an infinitesimal amount . In the bulk, the current density cannot change since is infinitesimal and cannot overcome the mobility gap in the bulk. It follows that if there is a change in the current density as a response to , this change must be at the edges of the system. Charge conservation also requires that if there is a resulting change in the current along the edge, this change must be uniform along the edge. We can relate the change in current I to the change in orbital magnetization density through I ¼

c M; A

ð10:3:1Þ

with A the total area of the system. This relation is nothing but the equation for the magnetic moment of a current loop. But we can write M in terms of using a Maxwell relation: @M @N ¼ : M ¼ @ B @B

ð10:3:2Þ

By combining Eqs. (10.3.1) and (10.3.2) we arrive at I @
¼c : @B

ð10:3:3Þ

When the filling factor is locked at a particular value * then changing the magnetic field at fixed necessarily changes the density, since

10.3 Edge states

355

@
*=@B ¼ ð@=@BÞð*=2 ‘2B Þ ¼ *e=2 0c. Then Eq. (10.3.3) shows that there is a corresponding current response to a change in the chemical potential. We conclude that: (a) there must be gapless excitations in the system (since there were states into which we could put more particles at an infinitesimal cost in energy); and (b) these excitations must be located at the edges of the system. Since all real systems are finite and inhomogeneous, the low-energy properties probed by experiments such as transport measurements must be determined by the gapless edge excitations. Next, we discuss in more detail the origin of these gapless edge states. First of all, we may quite generally assume that there is some confining potential Vext ðrÞ that keeps the electrons in the system. This potential is caused by electron–ion interactions and electron–electron interactions, but for simplicity we assume that we have noninteracting electrons confined by a potential Vext ðxÞ. In the center of the system the potential is flat, and we can here set Vext ðxÞ ¼ 0, but as we approach the edges of the system, the potential bends upwards, providing a well that confines the electrons to the interior of the system. The nonzero gradient of the confining potential also causes the states near the edges to carry a finite current. From our earlier discussion about gauge invariance we related the derivative of the Hamiltonian with respect to a fictitious flux to the current operator: @H / jy : @q We now take the expectation value of this relation in one of the eigenstates of H. The result is 0Ly @E nk ¼ i ; @k e nk where ink is the net current carried by the state jnki. This equation just relates the group velocity (@E=@k) to the current carried. In the interior, where the confining potential is flat, the eigenvalues are constant with respect to k and these states carry no net current. Near the edges, where the confining potential slopes upward, the eigenvalues change with k, giving rise to a finite velocity of the eigenstates, and hence a finite current carried by each state. Along one edge the current flows in the positive y-direction, and along the other edge, the current flows in the negative y-direction, since the gradient of Vext ðxÞ has opposite signs at the two edges. The eigenvalues change because of the relation xk ¼ ‘2B k between the center points xk of the states and the

356

The quantum Hall effect

wavenumber k. For example, in the limit of a very slowly rising potential ‘B dVext ðxÞ  1; dx 0!c and the eigenvalues are approximately E nk  ðn þ 12Þ0!c þ Vext ðxk Þ, so dE nk =dk  ‘2B dVext ðxk Þ=dx. We briefly described these current-carrying edge states in terms of semiclassical skipping orbits in Section 1.8. The theorem we discussed at the beginning of this section stated that the current-carrying states must be located at the edges. This lateral localization is due to the strong external magnetic field. For a confining potential Vext ðxÞ that preserves translational invariance along the y-axis, the single-particle eigenstates can be labeled by the y-momentum k and can be constructed from basis states that are a product of eiky and a function of x  xk . All these basis states are localized in the x-direction about xk on a scale given by ‘B . In the presence of the potential at the edge, linear combinations of these will form new energy eigenstates, which will also be localized in the xdirection. The strong magnetic field also prevents mixing of edge states at opposite edges, provided the separation between the edges is large compared with the magnetic length ‘B . Consider the effect of a local potential Vðx; yÞ on two well separated edge states j1i and j2i. In perturbation theory, the mixing of the edge states depends on the matrix element h1jVj2i, which falls off roughly as exp ðd 2 =‘2B Þ, where d is the separation between the edges. In the language of the Landauer–Bu¨ttiker formalism, the lack of mixing between current-carrying edge states at opposite edges makes the transmission probabilities for edge states unity. To be more precise, it can be shown that the matrix element for back-scattering across a system in the presence of disorder is of order exp ðLx =Þ, where  is a disorder-dependent length characterizing the extent of the edge state in the direction across the system. The suppression of back-scattering makes the Landauer–Bu¨ttiker formalism particularly well suited for systems in the integer quantum Hall regime, and also provides these systems with a very convenient framework for interpretation. Consider first a system with the Fermi energy midway between the centers of two Landau levels. In discussing bulk systems we argued that this places the Fermi energy in the mobility gap of the bulk states, so that in the bulk there are no current-carrying states at the Fermi energy. On the edge, however, there will be current-carrying states at the Fermi energy. We now connect the system to a source and a drain and apply an infinitesimal electrochemical potential energy difference between them. The current-carrying edge states injected at one terminal i cannot back-scatter but flow along their

10.4 The fractional quantum Hall effect

357

respective edges until they encounter the next terminal j along the edge with transmission probability Tji ¼ 1 and all other transmission probabilities zero. It is then a matter of simple algebra to conclude that: (a) the resistance between source and drain is h=e2 N, with N the number of filled Landau levels; (b) the resistance between any two terminals along the same edge is zero; and (c) the resistance between any two terminals on opposite edges is h=e2 N. As we increase the Fermi energy, it will eventually approach the center of the next Landau level. There are now extended states all across the system that are mixed by impurity scattering. Back-scattering is therefore no longer prohibited, and the longitudinal resistance between terminals along the same edge attains a finite, nonzero value. At the same time, we are beginning to add edge states belonging to a new Landau level, and the Hall resistance and resistance between source and drain decreases. As soon as the Fermi energy has swept past this new Landau level, the bulk states are in a new mobility gap, there is no back-scattering, and the longitudinal resistance vanishes. At the same time, we have populated the edge states originating from this new Landau level, and the Hall resistance attains a new quantized value h=e2 ðN þ 1Þ. As with all transport phenomena, the simple linear theory of the integer quantum Hall effect fails at sufficiently large currents. The transport at a quantized plateau then ceases to be dissipationless, while the Hall resistance may or may not change appreciably from its quantized value. This can happen through a variety of mechanisms. When one increases the electrochemical potential difference  between source and drain it is observed that at some value of  the longitudinal resistance starts to increase dramatically, and eventually becomes Ohmic, and thus linear in  . One loss mechanism involves coupling to phonons. As soon as the drift velocity exceeds the sound velocity, electrons can emit phonons, and dissipation occurs even in a system with no other source of disorder.

10.4 The fractional quantum Hall effect As we stated earlier, the fractional quantum Hall effect is observed at very large magnetic fields in very clean systems. Here, the energy gap is caused by electron–electron interactions. In order to observe resistance plateaus of finite width, there must be some degree of disorder present in order to provide a mobility gap, but too much disorder has the contrary effect of quenching this necessary energy gap. The first theoretical evidence for an energy gap caused by electron–electron interactions came from numerical diagonalizations of

358

The quantum Hall effect

small systems, which showed a downward dip in the ground state energy per particle near  ¼ 13. As the magnetic fields considered are of the order of 10 T, it is a good first approximation to assume that the cyclotron energy is much larger than any other energy scale. This means that we can restrict the basis states for electrons in the bulk of the two-dimensional sample to only the lowest Landau level. Hence, in the absence of external potentials, all single-particle states are completely degenerate. The problem becomes one of finding the ground state and elementary excitations of this system in which many electrons of equal unperturbed energy interact through a Coulomb potential that is screened only by the static dielectric constant of the material. Almost all our understanding of the fractional quantum Hall effect comes from a bold variational trial wavefunction first proposed by Laughlin in 1983. He demonstrated that this wavefunction is incompressible at filling factors  ¼ 1=p ¼ 1=ð2m þ 1Þ with m an integer and that the quasiparticles at these fillings have fractional charge  e=p ¼  e=ð2m þ 1Þ. Subsequent theoretical advances based on Laughlin’s suggestion helped to establish why his wavefunction gives a good description of the ground state. This work showed that there is a low-energy branch of collective modes called magneto-rotons (named in analogy with rotons in liquid helium), and established that there is a hidden, so-called off-diagonal long-range order in the Laughlin ground state. This latter insight led to the development of effective field theories in which this order parameter and long-wavelength deviations from it are the central quantities. Subsequent pioneering work by Jain, also based on the Laughlin wavefunction and the off-diagonal long-range order it contains, showed that the fractional quantum Hall effect can be described as an integer quantum Hall effect of composite particles consisting of electrons bound to an even number of flux quanta. These entities are called composite fermions. Finally, it was pointed out that the spin degree of freedom in GaAs systems is very important, and leads to a new class of excitations with spin textures. This is at first counter-intuitive, since one is inclined to assume that in strong magnetic fields, the spin degree of freedom is frozen out. However, in GaAs, atomic and band-structure properties conspire to drive the effective Lande´ g-factor close to zero, rendering the spin contribution to the energy per electron much smaller than any other energy. We will for now ignore the spin degree of freedom and consider N spinpolarized electrons in a magnetic field strong enough that we need only consider single-particle basis states in the lowest Landau level. It is convenient to work in the symmetric gauge, in which A ¼ 12 ðB  rÞ, since then the system is rotationally invariant about the z-axis, and the z-component of

359

10.4 The fractional quantum Hall effect

total angular momentum, Lz , commutes with the Hamiltonian. Our task is then to find the best choice for the ground state of the degenerate system of electrons in eigenstates of Lz when the Coulomb interaction is turned on. It is conventional (even though it is not a little confusing!) to use the complex notation zj  xj  iyj for the coordinates of the jth electron. In the lowest Landau level, the single-particle basis functions in the symmetric gauge are then written as 1 m ðzj Þ ¼ 2 ð2 ‘B 2m m!Þ1=2



zj ‘B

m

2

2

ejzj j =4‘B :

The probability densities of thesepstates ffiffiffiffiffiffi form circles about the origin with the peak density occurring at r ’ ‘B 2m. One can verify that m ðzj Þ is an eigenstate of Lz with eigenvalue 0m. The set of all N-particle Slater determinants composed of the lowestLandau-level single-particle wavefunctions forms a basis in which we can expand the N-particle wavefunctions. For the special case of  ¼ 1, we can write down the wavefunction by inspection. It is, except for a trivial normalization factor, 1 ¼

Y ikF

X 0 y y y y ½c p" cq"  cp# cq#  ak c k" jFi: 2 jkj>k F

Again we must demand that either p ¼ q or q ¼ k, and we are left with only 0 X 0 X y y y y ak cp" jFi þ a c jFi: 2 jkj>k 2 p;jkj>k k p" F

ð11:3:3Þ

F

Continuing with the terms generated by the operators S  and S þ , we find that X

y

cp" cq# S

X

y y

ak c k# jFi 

jkj>kF

p;q

X

X

y

c p# cq" Sþ

y y

ak c k" jFi

jkj>kF

p;q

reduces to y

0

X

y

y

ak c p" jFi  0

p;jkj>kF

X

y

ak cp# jFi:

ð11:3:4Þ

p;jkj>kF

We now combine expressions (11.3.2), (11.3.3), and (11.3.4). In (11.3.2) and (11.3.3) there are single summations over k, while all the other terms are double summations over p and k. We drop the single summations, since they will be smaller by a factor of order N than the double ones. The result is X y y 3J X y y ak ½ cp#  cp" jFi: 2 jkj>k jpj>k F

F

The eigenvalue equation for E a then becomes
 3J X a ¼ 0: ak E k  E a þ 2 jpj>k p F

396

The Kondo effect and heavy fermions

We avoid having to solve for the eigenvectors ak by the trick of dividing by E k  E a and summing over jkj > kF . The sum of the ak then cancels to leave us with 1¼

3J X 1 : 2 jkj>k E k  E a F

We change from a sum over k to an integration in which the energy E^ measured relative to the Fermi energy runs from zero to a value W related to the bandwidth, and approximate the density of states by its value D at the Fermi surface. We then have 3JD 1¼ 2

ðW 0



3JD

E a

ln

¼ : 2 W  E a

E^  E a d E^

Remembering that J is negative, we then find the solution with E a < 0 to be E a ¼ 

W e2=ð3jJjDÞ

1

:

ð11:3:5Þ

This expression reminds us of the condensation energy of a BCS superconductor given in Eq. (7.4.2), which was proportional to e2=VD , with V the attractive electron–electron interaction. When jJjD is small, E a is similarly proportional to e2=ð3jJjDÞ , showing that the coupling constant jJj in this case enters nonperturbatively into the problem. The function e2=ð3jJjDÞ cannot be expanded in a power series in jJj, and is said to have an essential singularity at jJj ¼ 0. For bands more than half-filled, the state ja i, which consists of bound spin-singlet pairs of conduction electrons and local spins, has a lower energy than E 0 , and is a better candidate for the ground state. The state jb i may also be examined by means of a similar approach, the main difference in the analysis being that jkj < kF . One finds that the state jb i should be the ground state for bands that are less than half full. The definition of the Kondo temperature TK is  1 : kTK  W exp  2DjJj 

This energy is similar to the small-jJj limit of our expression (11.3.5) for the energy reduction  E a , except for the factor of 12 instead of 23 in the exponent. This difference comes from the fact that those who originally defined it did so in terms of a triplet state, which is obtained if the coupling J is ferromagnetic

11.4 Heavy fermions

397

(J > 0), rather than the singlet state that we have considered. We again notice an analogy with the BCS theory of superconductivity, in which we find a similar expression for the critical temperature Tc . This is not an accident. Both TK and Tc define temperatures below which perturbation theory fails. In the BCS case, Tc signals the onset of the formation of bound Cooper pairs and a new ground state with an energy gap. The Kondo effect is a little more subtle. Here TK defines a temperature at which the energy contributions from second-order perturbation theory become important. This happens when the local spin on a single impurity starts to become frozen out at an energy set by the Kondo coupling J and the density of states at the Fermi energy. In summary, we have seen that the internal dynamics of the local spins interacting with the sea of conduction electrons become important at low temperatures. The net effect of this interaction is very much like a resonant state appearing at temperatures  TK . In fact, Wilkins has noted that the Kondo effect is very well described by a density-of-states expression that adds a resonant state at the Fermi energy for each impurity with a local moment. He writes this expression as DK ðEÞ ¼ DðEÞ þ

c  ¼ DðEÞ þ DðEÞ;

ðE  E F Þ2 þ  2

ð11:3:6Þ

where  ¼ 1:6 kTK . This expression adds a Lorentzian peak of weight unity at the Fermi energy for each impurity atom with a local moment. From this expression one can calculate, for example, the change in specific heat and the change in electrical resistance. All the many-body physics has then resulted in a simple change in the density of states at the Fermi surface consisting of the addition of a resonant state for each impurity. At high temperatures, the sharp resonances are unimportant in the presence of thermal smearing at the Fermi surface. As the temperature is decreased, the sharp resonances become more important in the scattering of the conduction electrons. At still lower temperatures, there is insufficient energy to flip the local spins, which become frozen in fixed orientations.

11.4 Heavy fermions We treated the Kondo problem by first considering the effects of a single impurity, and then simply multiplying the expected effect by the number of impurities present. We were thus assuming that the magnetic impurities were sufficiently dilutely dispersed in the metallic host material that we did not

398

The Kondo effect and heavy fermions

have to consider interactions between them. The starting point for the theory of heavy fermions, in contrast, is a regular lattice, typically consisting of a basis of a rare earth or actinide and a metal. Examples are UPt3 and CeAl3 . In this type of compound, it is possible for the electrons to form Bloch states, and display metallic behavior in the sense that the resistance diminishes to quite a small value as the temperature approaches absolute zero. This is quite distinct from the effects of the dilute magnetic impurities in the Kondo problem, which lead to a minimum in the resistance. On the other hand, the magnetic elements experience RKKY interactions, which can lead to the formation of nontrivial magnetic ground states. In addition, some of the heavy-fermion materials, UPt3 being an example, have superconducting ground states that are not the usual BCS type of superconductor. In view of this rich diversity of interesting properties, it is perhaps useful to start by pointing out what heavy-fermion materials do have in common, and why the fermions are said to be ‘‘heavy.’’ Let us first consider the electrical resistivity. In typical transition metals, this has a temperature dependence given by
ðTÞ ¼
ð0Þ þ AT 2 at low temperatures, where A is proportional to the effective mass of the electrons. In metallic heavy-fermion systems at sufficiently low temperatures, the resistivity still has this simple behavior, but the constant A can be as much as seven orders of magnitude larger than for transition metals! Similarly, the specific heat of normal metals at low temperatures is of the form CðTÞ ¼ T þ BT 3 , where T is the electronic contribution, and the term in T 3 is due to phonons. For heavy fermions, the electronic contribution T is perhaps two to three orders of magnitude greater than in normal metals, and is so large that the phonon contribution can often be ignored. Finally, there is the magnetic susceptibility , which for heavy fermions at low temperatures is enhanced by several orders of magnitude over that of conventional metals. All these quantities, A, , and , are proportional to the effective mass m* of the electrons for conventional metals. Their enhanced values lead us to the interpretation that we are indeed dealing with ‘‘heavy fermions.’’ That the concept of a large effective mass is useful for these compounds is demonstrated by the Wilson ratio, R. This is the ratio of the zero-temperature limit of the magnetic susceptibility (in units of the moment per atom, g2J JðJ þ 1Þ2B ) to the zero-temperature derivative of the specific heat (in units of 2 k 2 ), and is R¼

ð0Þ=g2J JðJ þ 1Þ2B : ð0Þ= 2 k 2

The fact that the Wilson ratio is approximately unity for all the nonmagnetic

11.4 Heavy fermions

399

heavy fermions suggests that, whatever the mechanism responsible for the anomalous behavior, there is a consistent pattern that can be interpreted in terms of a large effective mass. We take this argument back one further step by recalling that the electronic density of states is itself proportional to the effective mass in the case of a single band, and decide that our task should be to examine the likely magnitude of DðE F Þ in these systems. Our starting point will be the Anderson Hamiltonian, which is constructed from the following ingredients. First, there is a sea of conduction electrons formed from the conduction-band states of the host material (Al, Pt, or Zn, for example) and from the s and p electrons of a dopant such as U or Ce. These delocalized conduction electrons will in general have some dispersion relation E k;n for Bloch states labeled by a wavevector k in the first Brillouin zone and a band index n. This is a distracting complication, and so we assume that the bands are of free-electron form. Secondly, there are the localized d or f states of the dopant atoms. To be specific we assume that we are dealing with f electrons, and name their dispersion relation E f ðk; nÞ. However, since d and f electrons are very closely bound to the core of the dopant atoms, these states do not overlap significantly. The band formed by them is consequently very flat, and their energies can be taken to be a constant, E f (not to be confused with the Fermi energy E F ). The next ingredient is one that leads to strong correlations. It is the on-site repulsion term. This is due to the localized nature of the d and f orbitals. If there are several d or f states filled on the same atom (which is possible because of their relatively high spin degeneracy), the Coulomb interaction between them contributes strongly to the energy. This interaction can then be written U

X

ni; ni; 0 ;

i;; 0

where the summation runs over all dopant sites i, and  is an enumeration of the degenerate multiplet of local states. The on-site repulsion is given by U. This kind of localized Coulomb repulsion is sometimes called a Hubbard term, because it is a central piece in another model of strongly correlated electrons, the Hubbard Hamiltonian. Lastly, there is an interaction between the delocalized conduction electrons and the local states. The idea here is that a conduction electron with a certain spin can hop onto a local site, or vice versa. This is in contrast to the Kondo Hamiltonian, where local states and conduction electrons could exchange spin, but were not allowed to transform into one another. We take this local interaction to be a very short-ranged potential centered at the sites i of the dopants.

400

The Kondo effect and heavy fermions

Putting it all together, we then have the periodic Anderson model, HA ¼

X

y

E k c k; ck; þ E f

þ

f yi; fi; þ U

i;

k;

X

X

y

Vðc k; fi; þ f yi; ck; Þ:

X

f yi; fi; f yi; 0 fi; 0

i; 0 ;

ð11:4:1Þ

k;i;

Here fi; annihilates an f electron of quantum number  at site i. In the last term, which is the hybridization term, we have effectively taken the interaction V to be a delta-function in real space, making the Fourier transform independent of k. This is a reasonable approximation provided the range of the interaction is much shorter than the Fermi wavelength. We have also taken the confusing step of writing the hybridization term as coupling the local states with conduction electrons labeled by a quantum number  rather than by a simple spin . The reason for this is that  usually denotes an enumeration of the symmetries of the degenerate local states, which depend on angular momentum, spin, and spin–orbit coupling. The conduction electron states have to be decomposed into the same symmetries by combining the Bloch states into angular momentum states. This is a tedious element of general practical calculations, and we here acknowledge that it may be necessary by using the notation  instead of . Fortunately, for local states having only spin-up and spin-down degeneracies, no decomposition is required, and the coupling to the conduction electrons is just through the spin channels . Equation (11.4.1) is a very rich Hamiltonian, which is capable of describing a variety of physical situations, depending on the values of U and V, and of the degeneracy of the local states. In particular, this Hamiltonian contains the Kondo Hamiltonian. By this we mean that by making a clever transformation, one can show that there are Kondo-like interactions included in the periodic Anderson model. This procedure is called the Schrieffer–Wolff transformation. One starts with the single-impurity Anderson Hamiltonian, in which there is just one impurity site with its degenerate d or f orbitals. One then seeks a canonical transformation that eliminates the hybridization terms between the conduction electrons and the impurity states. This is very similar in spirit to the canonical transformation we applied when studying the Fro¨hlich and Nakajima Hamiltonians in Sections 6.5 and 6.6. There we eliminated the term linear in electron–phonon coupling, while in the present case we eliminate the terms linear in the coupling between the conduction electrons and the impurity states.

401

11.4 Heavy fermions

We start by considering the single-impurity Hamiltonian H ¼ H0 þ H 1 where H0 ¼

X

y

E k ck; ck; þ E f

X 

k;

and H1 ¼

X

ð11:4:2Þ f y f þ Un" n#

y

Vk ðck; f þ f y ck; Þ:

k;

For simplicity we are considering only spin-up spin-down degeneracy, but are allowing the hybridization term Vk to depend on k. Were it not for the Hubbard term, Un" n# , the whole Hamiltonian H could easily be diagonalized, since it would then be just a quadratic form in annihilation and creation operators. We might thus be tempted to perform the diagonalization and then treat the Hubbard term as a perturbation. However, we have seen in Chapter 2 that the strength of the Coulomb interaction makes this a difficult task. Instead, we follow the procedure of Section 6.5, and look for a unitary transformation to eliminate the interaction terms Vk to first order. Just as in Eq. (6.5.3), we seek a unitary operator s that will transform H into a new Hamiltonian H 0 ¼ es Hes from which first-order terms in H1 have been eliminated. For this to happen, we again require H1 þ ½H0 ; s ¼ 0; which then to second order in Vk leaves us with H 0 ¼ H0 þ 12 ½H1 ; s: From our experience with the electron–phonon interaction, where the elimination of the first-order terms led to the appearance of an effective electron– electron interaction term, we are prepared for some interesting consequences in the present case. To proceed, we try an operator s of the form X y s¼ ak Vk ð f y ck  ck f Þ; ð11:4:3Þ k;

with the coefficients ak; to be determined. With this form of s, we find that X X y y ak Vk ðE f  E k Þð f y ck þ c k f Þ þ U ak Vk ðc k f þ f y ck Þn : ½H0 ; s ¼ k;

k;

402

The Kondo effect and heavy fermions

This poses a little problem, since the presence of four operators in the last term means that this expression cannot be equated with H1 , which contains only two. We solve this by making the mean-field approximation of replacing n by its expectation value hn i. The solution for the coefficients is then ak ¼ ðE k  E f  Uhn iÞ1 : Because hn i can only take on the values 0 or 1, we can rewrite this solution as ak ¼

1  n n þ : Ek  Ef Ek  Ef  U

ð11:4:4Þ

Note that we have quietly removed the angular brackets from hn i and restored it to the status of being an operator. This is important in the next step we take, which is to calculate the effective interaction term in our transformed Hamiltonian H 0 . It is 1 1 X y y ½H1 ; s ¼  ½a V ð f y c  ck f Þ; Vk 0 ðc k 0  0 f 0 þ f y 0 ck 0  0 Þ: 2 2 k;k 0 ; 0 k k  k

ð11:4:5Þ

The presence of the operator n in the expression for ak means that we are commuting a product of four operators with a product of two operators. Two operators disappear in the process, and this leaves us with a product of y four operators, the most important of which are of the form f y ck c k 0  f and their Hermitian conjugates. These terms have the form of an interaction between a conduction electron and a local state, in which the spins of both are reversed and in which the conduction electron is scattered: this is precisely the form of the Kondo interaction. In addition to these terms, the unitary transformation also yields other terms not included in the Kondo Hamiltonian. The Anderson Hamiltonian is therefore richer in the sense that it contains more physics. This also makes it more difficult to solve. While the Kondo problem can be solved exactly using so-called Bethe Ansatz techniques, no exact solutions are known to the Anderson Hamiltonian. Given the fact that the single-impurity Anderson Hamiltonian contains a Kondo-like term, it was to be expected that in the dilute limit, where one can consider just a single dopant atom, there would appear in the Anderson Hamiltonian a Kondo resonance at the Fermi energy. What is more surprising is that spectroscopic measurements find such a resonance in heavy-fermion materials such as CeAl3 , in spite of the fact that the Ce atoms are not at all dilute in the Al host. The reason for this is that the measurements are typically performed at temperatures too high for the coherence expected for a regular lattice of Ce and Al atoms to develop. As in the Kondo model, the

Problems

403

appearance of this resonance depends nonperturbatively on an effective coupling constant. One approach to studying the single-impurity Anderson Hamiltonian is very similar to the way in which we analyzed the low-temperature behavior of the Kondo Hamiltonian. One builds up approximate eigenstates by including several collective states. Each collective state consists of one or more electron–hole pair excitations from the Fermi sea, plus possible combinations of occupations of the local states. Because more states with greater complexities are included than in the low-temperature treatment of the Kondo problem, the algebra is more complicated, and so we do not present the details here. The picture that emerges, and which is fairly typical of heavy fermions, is that the density of states contains a number of interesting features. The first of these is a sharp Kondo-like peak at the Fermi energy, which is expected because the Kondo physics is contained in the Anderson Hamiltonian. In addition, there are two broader peaks, one below the Fermi surface at E f , and the other above the Fermi surface at approximately E f þ U. The Kondo peak is very sharp with a small spectral weight, while the spectral weights of the broader peaks depend on the degeneracy of the local state. Experimental measurements of the density of states by means of spectroscopies that probe both the filled states below the Fermi surface and the empty states above it confirm the accuracy of this generic picture.

Problems 11.1 Calculate the energy E b of the state jb i for spin- 12 antiferromagnetic coupling. Follow the steps of the calculation of E a , but note the difference that the state jb i involves electron states below the Fermi surface, which will change some signs and the limits of the final integral over energies. Show that jb i has a lower energy than ja i if the conduction band is less than half full. 11.2 A commonly encountered Kondo system consists of Fe impurities in Cu. Assume a concentration of 1% and antiferromagnetic coupling of the order of 1 eV. Estimate the Kondo temperature (you will need to guess the density of states and conduction band width for Cu). How large a change in the specific heat (cf. Eq. (11.3.6)) would you expect due to the presence of the Fe impurities at low temperatures? 11.3 In a traditional BCS s-wave superconductor, electrons at the Fermi surface with opposite momenta and spin are bound in singlets. Suppose

404

The Kondo effect and heavy fermions

that such a superconductor, which in its normal state has a conduction band that is more than half-filled, is now doped with magnetic impurities with spin-1/2 local moments. Form an expression for the ratio of the Kondo temperature TK to the BCS critical temperature Tc . How do you think this system will behave as it is cooled down if Tc > TK ? What if Tc < TK ? 11.4 In our attempt to diagonalize the Hamiltonian (11.4.2) we defined in Eq. (11.4.3) an operator s in terms of coefficients ak . These coefficients were assumed to be numbers and not operators, and so they commuted with H. However, in Eq. (11.4.4) we rather inconsistently gave them the character of operators, and this led to the Kondo interaction when we formed ½H1 ; s. What would we have found if we had assumed from the start that ak was linear in n ? y

11.5 What is the coefficient of the Kondo operator f y ck ck 0  f found from the commutator ½H1 ; s in Eq. (11.4.5)? 11.6 The Kondo effect is the result of the scattering impurity having an internal degree of freedom, namely its spin. Something similar happens when electrons are scattered from a moving impurity, the internal degree of freedom in this case being the vibrational motion of the impurity. For the purposes of this exercise we consider a substitutional impurity of mass closely equal to that of the host material, so that its motion can be described in terms of phonon operators. The electron scattering matrix element VK , with K ¼ k 0  k, is phase shifted to VK eiKy by the displacement y of the impurity. To first order in y the P scattering perturbation is then VK ð1 þ iK  q yq N 1=2 Þ. Show that in second order, processes like those shown in Fig. P11.1 do not exactly cancel each other because of the energy of the virtual phonons involved. (This makes an observable contribution to the Peltier coefficient in dilute alloys at low temperatures, and is known as the Nielsen–Taylor effect.)

Figure P11.1. These two scattering processes do not exactly cancel.

Bibliography

Chapter 1. Semiclassical introduction Standard introductory texts on quantum mechanics and solid state physics are 1. Quantum Physics, 2nd edition, by S. Gasiorowicz (Wiley, New York, 1996) 2. Introduction to Solid State Physics, 7th edition, by C. Kittel (Wiley, New York, 1996). Some classic references for the topic of elementary excitations are 3. Concepts in Solids, by P. W. Anderson (reprinted by World Scientific, Singapore, 1998) 4. Elementary Excitations in Solids, by D. Pines (reprinted by Perseus, Reading, Mass., 1999). The concept of the soliton is described in 5. Solitons: An Introduction, by P. G. Drazin and R. S. Johnson (Cambridge University Press, Cambridge, 1989).

Chapter 2. Second quantization and the electron gas A detailed but accessible discussion of the electron gas and Hartree–Fock theory is given in 1. Many-Particle Theory, by E. K. U. Gross, E. Runge and O. Heinonen (IOP Publishing, Bristol, 1991) This book also introduces the concepts of Feynman diagrams and Fermi liquid theory. The primary reference for the nuts and bolts of many-particle physics is 2. Many-Particle Physics, 3rd edition, by G. D. Mahan (Plenum, New York, 2000). This work is particularly useful for learning how to do calculations using Feynman diagrams. Its first chapter treats second quantization with many examples from condensed matter physics, while its Chapter 5 treats electron interactions. A classic reference for the interacting electron gas is 3. The Theory of Quantum Liquids, by D. Pines and P. Nozie`res (reprinted by Perseus Books, Cambridge, Mass., 1999). 405

406

Bibliography

Chapter 3. Boson systems Lattice vibrations are thoroughly discussed in 1. Dynamics of Perfect Crystals, by G. Venkataraman, L. A. Feldkamp, and V. C. Sahni (M.I.T. Press, Cambridge, Mass., 1975) and are also included in the reprinted classic 2. Electrons and Phonons, by J. M. Ziman (Oxford University Press, Oxford, 2000). One of the most comprehensive references on the subject of liquid helium is 3. The Physics of Liquid and Solid Helium, edited by J. B. Ketterson and K. Benneman (Wiley, New York, 1978). For the subject of magnons, and a clear introduction to magnetism in general, we recommend 4. The Theory of Magnetism I, Statics and Dynamics, by D. C. Mattis (Springer-Verlag, New York, 1988). The reduction of the Dirac equation by means of the Foldy–Wouthuysen transformation may be found in 5. Relativistic Quantum Mechanics, by J. D. Bjorken and S. D. Drell (McGraw-Hill, New York, 1964)

Chapter 4. One-electron theory A reference textbook on solid state physics that contains good pedagogical chapters on one-electron theory is 1. Solid State Physics, by N. W. Ashcroft and N. D. Mermin (Holt, Reinhart and Winston, New York, 1976). More detail is to be found in 2. Electronic Structure and the Properties of Solids, by W. A. Harrison (Dover, New York, 1989) and 3. Elementary Electronic Structure, by W. A. Harrison (World Scientific, Singapore, 1999) with specialized descriptions of particular methods in 4. The LMTO Method: Muffin-Tin Orbitals and Electronic Structure, by H. L. Skriver (Springer-Verlag, New York, 1984) 5. Planewaves, Pseudopotentials and the LAPW Method, by D. J. Singh (Kluwer Academic, Boston, 1994) 6. Electronic Structure and Optical Properties of Semiconductors, 2nd edition, by M. L. Cohen and J. R. Chelikowsky (Springer-Verlag, New York, 1989). A very readable text on quasicrystals is 7. Quasicrystals: A Primer, by C. Janot (Clarendon Press, Oxford, 1992).

Bibliography

407

Chapter 5. Density functional theory The standard references are 1. Density Functional Theory. An Approach to the Quantum Many-Body Problem, by R. M. Dreizler and E. K. U. Gross (Springer-Verlag, New York, 1990) 2. Density-Functional Theory of Atoms and Molecules by R. G. Parr and W. Yang (Oxford University Press, Oxford, 1989). The book by Dreizler and Gross is couched in the language of condensed matter physics, while the one by Parr and Yang is more suitable for quantum chemists. A classic review article is 3. General density functional theory, by W. Kohn and P. Vashishta, in Theory of the Inhomogeneous Electron Gas, edited by S. Lundqvist and N. H. March (Plenum Press, New York, 1983). The volume 4. Electronic Density Functional Theory. Recent Progress and New Directions, edited by J. F. Dobson, G. Vignale, and M. P. Das (Plenum Press, New York 1998) has a clear exposition of GGA approximations by K. Burke, J. P. Perdew and Y. Wang, as well as a good article on TDDFT by M. Petersilka, U. J. Gossmann and E. K. U. Gross, and on time-dependent current DFT by G. Vignale and W. Kohn. In addition, this volume also contains an article on ensemble DFT by O. Heinonen, M. I. Lubin, and M. D. Johnson. There is also a review article on TDDFT by E. K. U. Gross, J. F. Dobson, and M. Petersilka in 5. Density Functional Theory II, Vol. 181 of Topics in Current Chemistry, edited by R. F. Nalewajski (Springer-Verlag, New York, 1996), p. 81. A very understandable review article on TDDFT is 6. A guided tour of time-dependent density functional theory, by K. Burke and E. K. U. Gross, in Density Functionals: Theory and Applications, edited by D. Joubert (Springer-Verlag, New York, 1998). The original papers laying out the foundation for density functional theory and the Kohn–Sham formalism are 7. P. Hohenberg and W. Kohn, Phys. Rev. 136, B864 (1964) 8. W. Kohn and L. J. Sham, Phys. Rev. 140, A1133 (1965).

Chapter 6. Electron–phonon interactions A good source on this topic is Reference 2 of Chapter 3, which is further developed in 1. The electron–phonon interaction, by L. J. Sham and J. M. Ziman, in Solid State Physics, edited by F. Seitz and D. Turnbull, Vol. 15, p. 221 (Academic Press, New York, 1963) and 2. The Electron–Phonon Interaction in Metals, by G. Grimvall (Elsevier, New York, 1981).

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Bibliography

There is a wealth of material on electron–phonon interactions in 3. Polarons in Ionic Crystals and Polar Semiconductors, edited by J. T. Devreese (North-Holland, Amsterdam, 1972) while a good source for discussion of Peierls distortions is 4. Density Waves in Solids, by G. Gru¨ner (Addison-Wesley, Reading, Mass., 1994).

Chapter 7. Superconductivity The classic reference is 1. Theory of Superconductivity, by J. R. Schrieffer (reprinted by Perseus, Reading, Mass., 1983). An excellent introductory volume that treats both type I and type II superconductors is 2. Introduction to Superconductivity, 2nd edition, by M. Tinkham (McGraw-Hill, New York, 1996). We can also recommend 3. Superconductivity of Metals and Alloys, by P. G. de Gennes (reprinted by Perseus Books, Cambridge, Mass., 1999). A very complete review of BCS superconductivity is contained in the two volumes of 4. Superconductivity, edited by R. D. Parks (Marcel Dekker, 1969). The original BCS paper, which is truly a landmark in physics, is 5. J. Bardeen, L. N. Cooper, and J. R. Schrieffer, Phys. Rev. 108, 1175 (1957).

Chapter 8. Semiclassical theory of conductivity in metals A classic text on the subject is again Reference 2 of Chapter 3. A more recent treatment is 1. Quantum Kinetics in Transport and Optics of Semiconductors, by H. Haug and A.-P. Jauho (Springer-Verlag, New York, 1998). A reference for two-dimensional systems is 2. Transport in Nanostructures, by D. K. Ferry and S. M. Goodnick (Cambridge University Press, Cambridge, 1997). A review article that focuses on Monte Carlo solutions of Boltzmann equations in semiconductors is 3. C. Jacoboni and L. Reggiani, Rev. Mod. Phys. 55, 645 (1983). An introduction to thermoelectricity is 4. Thermoelectricity in Metals and Alloys, by R. D. Barnard (Taylor and Francis, London, 1972).

Bibliography

409

Chapter 9. Mesoscopic physics Introductory-level discussions of the Landauer–Bu¨ttiker approach are given in 1. Electronic Transport in Mesoscopic Systems, by S. Datta (Cambridge University Press, Cambridge, 1995). A more advanced book is Reference 2 of Chapter 8. One of the best review articles on the Landauer–Bu¨ttiker approach is 2. The quantum Hall effect in open conductors, by M. Bu¨ttiker in Nanostructured Systems, edited by M. Reed (Semiconductors and Semimetals, Vol. 35) (Academic Press, Boston, 1992). In addition to discussing the multi-terminal Landauer–Bu¨ttiker approach, this article also describes in great detail its applications to the integer quantum Hall effect. A good review of weak localization can be found in 3. Theory of coherent quantum transport, by A. D. Stone in Physics of Nanostructures, edited by J. H. Davies and A. R. Long (IOP Publishing, Bristol, 1992). For more discussion of noise in mesoscopic systems, we recommend in particular 4. R. Landauer and Th. Martin, Physica 175, 167 (1991) 5. M. Bu¨ttiker, Physica 175, 199 (1991). We also recommend the original literature on the Landauer–Bu¨ttiker formalism, namely 6. R. Landauer, IBM J. Res. Dev. 1, 223 (1957) 7. R. Landauer, Phil. Mag. 21, 863 (1970) 8. M. Bu¨ttiker, Phys. Rev. Lett. 57, 1761 (1986). The classic work on weak localization is 9. E. Abrahams, P. W. Anderson, D. C. Licciardello, and T. V. Ramakrishnan, Phys. Rev. Lett. 42, 673 (1979).

Chapter 10. The quantum Hall effect The standard reference is 1. The Quantum Hall Effect, 2nd edition, edited by R. E. Prange and S. M. Girvin (Springer-Verlag, New York, 1990) while the book 2. The Quantum Hall Effects, Integral and Fractional, 2nd edition, by T. Chakraborty and P. Pietila¨inen (Springer-Verlag, New York, 1995) gives a particularly detailed discussion of the fractional quantum Hall effect and gives technical descriptions of numerical calculations. For composite fermions there is the volume 3. Composite Fermions: A Unified View of the Quantum Hall Regime, edited by O. Heinonen (World Scientific, Singapore, 1998). For skyrmions we recommend 4. H. A. Fertig, L. Brey, R. Cote, and A. H. MacDonald, Phys. Rev. B 50, 11018 (1994).

410

Bibliography

A volume that contains many useful articles, and particularly the one by S. M. Girvin and A. H. MacDonald, is 5. Perspectives in Quantum Hall Effects: Novel Quantum Liquids in LowDimensional Semiconductor Structures, edited by S. Das Sarma and A. Pinczuk (Wiley, New York, 1996). The original literature reporting the discoveries of the integer quantum Hall effect and the fractional quantum Hall effect, and Laughlin’s explanation of the fractional quantum Hall effect are 6. K. von Klitzing, G. Dorda, and M. Pepper, Phys. Rev. Lett. 45, 494 (1980). 7. D. C. Tsui, H. L. Sto¨rmer, and A. C. Gossard, Phys. Rev. Lett. 48, 1559 (1982). 8. R. B. Laughlin, Phys. Rev. Lett. 50, 1395 (1983).

Chapter 11. The Kondo effect and heavy fermions Reference 2 of Chapter 2 has a good chapter on spin fluctuations. It includes the Kondo problem and heavy fermions. A very complete account of these topics is 1. The Kondo Problem to Heavy Fermions, by A. C. Hewson (Cambridge University Press, Cambridge, 1997). Some review articles on this topic are 2. D. M. Newns and N. Read, Adv. Phys. 36, 799 (1987). 3. P. Fulde, J. Keller, and G. Zwicknagl, in Solid State Physics, Vol. 41, p. 1, edited by H. Ehrenreich and D. Turnbull (Academic Press, San Diego, 1988). 4. N. Grewe and F. Steglich in Handbook on the Physics and Chemistry of the Rare Earths, Vol. 14 (Elsevier, Amsterdam, 1990).

Index

absolute thermoelectric power, 311 acoustic mode, 104 adiabatic approximation, 125 adiabatic local density approximation, 205 Aharonov–Bohm phase, 335, 348, 371 Aharonov–Casher effect, 332 Anderson Hamiltonian, 399 anharmonic oscillator, 81 annihilation operator for bosons, 78 for electrons, 30, 35 for magnons, 119 for phonons, 96, 101 anticommutation, 37 anyon, 365 ballistic limit, 319 band index, 130 band structure, 128 basis vector, 99 BCS Hamiltonian, 235 Berry’s phase, 371 Bloch electron, 125 velocity of, 160 Bloch’s theorem, 127 Bogoliubov theory of helium, 88 Bogoliubov–Valatin transformation, 237 Boltzmann equation, 285, 287 Born approximation, 172 Born–Oppenheimer approximation, 125 Bose–Einstein condensation, 87 Bose–Einstein distribution (see boson, distribution function) boson, 31, 78 distribution function, 86 boundary conditions, periodic, 28, 97, 267 Bravais lattice, 99 Brillouin–Wigner perturbation theory, 52, 138 Brillouin zone, 100, 130 canonical transformation, 224 channel, 320

chemical potential, 85, 204, 272 closed orbits, 168 coherence length, 198, 235 collective excitations, 3 commutator, 60, 79 composite fermion, 358, 379 condensate, 236 condensation energy, 244 conductance quantization, 319 conduction band, 132 conductivity electrical, 288, 299 thermal, 304 contact resistance, 324 Cooper pair, 225 core state, 143 correlation energy, 49, 192 correlation potential, 192 Coulomb blockade, 336 creation operator for bosons, 78 for electrons, 30, 35 for magnons, 119 for phonons, 96 Curie temperature, 121 current density functional theory, 205 current density operator, 161, 256 cyclotron frequency, 168, 345 cyclotron mass, 168, 221 dangerous diagrams, 90 Darwin term, 154 Debye model, 105 Debye temperature, 106 density functional theory, 183 time-dependent, 200 density of states electron, 131 phonon, 104 density operator, 59 dielectric constant, 69, 76 dimerization, 218 Dirac equation, 114, 153

411

412

Index

Dirac notation, 27 Drude formula, 335 edge states, 353, 355 effective mass, 141, 180 Einstein model, 107, 117 elastic mean free path, 315 electrical conductivity (see conductivity, electrical) electron pairs, 84, 225, 236 electron–phonon interaction, 17, 210–231, 299 electronic specific heat, 221, 251 elementary excitations, 1 energy current, 304 energy gap, 233, 243 ensemble density functional theory, 206 equation of continuity, 256, 286 exchange-correlation energy functional, 189 exchange-correlation hole, 194 exchange-correlation kernel, 205 exchange-correlation potential, 190 exchange energy, 47, 223 exchange hole, 194 exchange phase, 364 exchange scattering, 47 excitation collective, 3 elementary, 1 quasiparticle, 3 exciton, 180 Exclusion Principle, 3, 15, 18, 143, 288, 301 extended zone scheme, 131 Fermi–Dirac distribution (see fermion, distribution function) Fermi energy, 132 fermion, 32 distribution function, 86 field operator, 57 Fermi surface, 15, 133 ferrimagnetism, 121 ferromagnetism, 10, 71, 117 Feynman–Bijl formula, 369 Fibonacci chain, 176 filling factor, 345 flux quantization, 265 Fock space, 33 Foldy–Wouthuysen transformation, 114, 153 fractional statistics, 364 Friedel sum rule, 174 Fro¨hlich Hamiltonian, 210 frozen phonon calculation, 197 Fuchs–Sondheimer theory, 294 functional, 184 derivative, 203 generalized gradient approximation, 198 Ginzburg–Landau equations, 271, 277 golden mean, 176 grand canonical ensemble, 85 Green’s-function method, 152 ground state, superconducting, 243 group velocity, 6, 109, 161

Hall coefficient, 297 Hall effect, 20, 297 Hall field, 20 harmonic approximation, 96 harmonic oscillator, 80 Hartree–Fock approximation, 48, 71, 75, 125 heat–current density, 304 heavy fermion, 385, 398 Heisenberg model, 118 Helmholtz energy, 113, 275, 282 heterojunction, 318 Hohenberg–Kohn theorem, 182, 184 hole-like behavior, 142 hole state, 16, 68 hole surface, 135 Holstein–Primakoff transformation, 116, 118 Hubbard term, 399 Hund’s rules, 384 incompressibility, 343 inelastic scattering, 299 insulator, 132 intermediate state of superconductor, 272 inverse-effective-mass tensor, 141, 168, 180 Ising model, 118 isotope effect, 235, 251 Jahn–Teller effect, 279 jellium, 43 Johnson noise, 330 Jones zone, 156, 180 Josephson effect, 265, 270 Kohler’s rule, 296 Kohn anomaly, 215 Kohn–Sham formulation, 187 Kohn–Sham orbitals, 190 Korringa–Kohn–Rostoker method, 152 Kondo effect, 385 Kondo limit, 385 Kondo temperature, 396 Kronecker delta, 27 Lagrangian, 112 Landau gauge, 344 Landau level, 345 Landauer–Bu¨ttiker formalism, 324, 356 lattice vibration (see phonon) Laughlin wavefunction, 358 linear chain, 4, 7, 94 Liouville equation, 286 liquid helium, 88 local density approximation, 191 local spin density approximation, 197 London equation, 255 longitudinally polarized phonon, 101 Lorentz force, 111, 167 Lorenz number, 306 magnetic breakdown, 170 magnetic length, 345 magnetic moments, 113

Index magnetoresistance, 296, 314 magneto-roton, 368 magnon, 10, 117 (see also spin wave) magnon interactions, 121 magnon–phonon interactions, 123 mass enhancement, 221 mass–velocity term, 153, 181 Matthiessen’s rule, 303 mean field, 117 mean free path, 292 Meissner effect, 233, 254, 271 mesoscopic system, 316 metallic ferromagnets, 71 mixed state, 235, 274 mobility gap, 351 Mo¨ssbauer effect, 22 Mott insulator, 280 muffin tin potential, 152 Nakajima Hamiltonian, 226 nearly-free-electron approximation, 136 Nielsen–Taylor effect, 404 N-process, 109 number operator for bosons, 79 for fermions, 37 occupation number representation, 32 Onsager relations, 311 optical mode, 103, 122 OPW (see orthogonalized plane wave) OPW method, 150 orbit, 168 periodic open, 169 orthogonalized plane wave, 146, 153 Pade´ approximants, 191 paramagnon, 74 Pauli Exclusion Principle (see Exclusion Principle) Pauli spin susceptibility, 221 Peierls transition, 218 Peltier effect, 308 penetration depth, 233, 255, 258 Penrose tile, 174 Perdew–Burke–Ernzerhof theory, 200 Perdew–Zunger parametrization, 192 periodic Anderson model, 400 periodic boundary conditions, 28, 97, 267 periodic open orbit, 169 perturbation theory, 51 phase breaking length, 316 phase breaking time, 334 phase shift, 152 phonon, 7, 93–110 phonon drag, 312 phonon interactions, 23, 107 plasma frequency electron, 14, 64 ion, 12 plasma oscillation, 11, 64 plasmon, 12, 14 polarization

electron density, 187 phonon, 7, 101 polaron, 219 Poisson noise, 330 positron, 16 probable occupation number, 285 pseudoboson, 80 pseudogap region, 280 pseudopotential, 148 quantized flux, 269, 346 quantum Hall effect, 19, 342 quasicrystal, 174 quasihole, 361 quasiparticle, 3, 17, 363 quenching, 114 random phase approximation, 60, 64 Rayleigh–Schro¨dinger perturbation theory, 52 reciprocal lattice, 99 reduced zone scheme, 131 reflection probability, 322 relativistic effect, 153 relaxation time, 292 anisotropic, 252 remapped free-electron model, 135, 150 repeated zone scheme, 136 reservoir, 320 resistance minimum, 385 resistance quantum, 336 resistivity (see conductivity) rigid-ion approximation, 210 RKKY interaction, 384 Runge–Gross theorem, 201 sandwichium, 139 scattering by impurities, 170 scattering matrix, 320 Schrieffer–Wolff transformation, 400 Schro¨dinger equation, 26 screening, 13, 65 second quantization, 34, 39, 78 Seebeck effect, 311 self-consistent Kohn–Sham scheme, 190 shot noise, 330 simple metal, 146 single-mode approximation, 369 singular value decomposition, 328 skymion, 370 Slater determinant, 32 soliton, 7, 218 Sommerfeld gas, 46 sound velocity in metals, 19, 229 specific heat due to phonons, 104 electronic, 221, 251 spin, 48, 114 spin-orbit coupling, 153, 157 spin raising and lowering operators, 115 spin wave, 11, 71 (see also magnon) strong-coupling superconductor, 243 structure factor, 156

413

414 superconductivity, 232–284 superfluid, 92 symmetric gauge, 344 thermal conductivity, 304 thermoelectric effects, 308 thermoelectric power, absolute, 311 thermopower, 311 tight-binding approximation, 144 T-matrix, 172 Toda chain, 8 trace of operator, 84 transition matrix, 172 transition metals, 150, 302 transition temperature of superconductor, 247 transmission probability, 322 transverse-even voltage, 297 transversely polarized phonon, 101 tunneling, 258–265 type I superconductor, 233, 275 type II superconductor, 233, 275 ultrasonic attenuation, 252 Umklapp scattering, 109

Index uncertainty principle, 53, 213, 271 U-process (see Umklapp scattering) universal conductance fluctuation, 335 vacuum state, 30 valence band, 132 vector mean free path, 293 Voronoy polyhedron, 178 vortex rings, 93 v-representability, 207 weak-coupling superconductor, 243 weak localization, 332 Wiedemann–Franz law, 306 Wigner crystal, 191 Wilson ratio, 398 winding number, 370 Yukawa potential, 64, 70 Zener breakdown, 167